Investment Compliance Manager

Job Description

• You will be working on a flexible hybrid schedule as part of Fidelitys dynamic working arrangement.

Current work authorization for Canada is required for all openings. Company Overview At Fidelity, weve been helping Canadian investors build better financial futures for over 35 years. We offer individuals and institutions a range of trusted investment portfolios and services - and were constantly seeking to find new and better ways to help our clients. As a privately owned company, we boldly embrace innovation in all areas as we continue to grow our business into the future. Working with us means youll be part of a diverse and dedicated group of people who make a real difference for our clients and communities every day. Youll have a wide range of opportunities to grow and develop your career in an inclusive environment where youll feel valued and supported to be your best - both personally and professionally. The Opportunity As a member of the Fidelity Canada Investment Compliance team, the Investment Compliance Manager provides support to business units through the provision of education, guidance and interpretation of rules and regulations to ensure statutory and regulatory requirements are fulfilled. The Investment Compliance Manager is involved in all aspects of the investment compliance process. The primary role is to assist in the evaluation, development, maintenance, and oversight of the compliance program as it relates to the investment compliance process. What You Will Do

• Develop and/or maintain appropriate oversight mechanisms for compliance policies, exceptions and the compliance program.
• Liaise with portfolio managers to respond to investment compliance issues and questions
• Liaise with the trading team to respond to investment compliance issues and questions
• Ensure compliance with Canadian laws and regulations relating to investment activities and registrations with the Canadian securities regulators
• Work with the legal department on prospectus wording for funds to ensure consistency of drafting and application
• Assist in developing oversight mechanisms for the investment programs of all other Fidelity Investments Canada funds
• Respond to inquiries from the securities commissions relating to investment compliance and Portfolio Management registration
• Work with the compliance and legal departments on any audits (by auditors or regulators) of Fidelity Investments Canada investment compliance programs or issues that may arise
• Obtain and filter relevant trading data and compliance reports from trading systems and data warehouses for daily compliance monitoring analysis
• Review and investigate trading exceptions on a daily basis, including best execution, timely and fair allocation, timely execution, market abuse and other conflicts
• Report to appropriate management committees and boards of directors on the investment compliance program or issue

What Were Looking For

• University degree or equivalent work experience
• 5+ years in the financial services industry, preferably in an Investment Compliance function
• Experience working with all asset classes and derivatives
• Experience working directly with portfolio managers and traders is an asset
• CFA or working towards designation is a nice to have
• Successful completing of these following courses is an asset: Derivatives Fundamental Course (DFC), Canadian Securities Course (CSC)/ Investment Funds in Canada (IFC), Partners, Directors and Senior Officer course (PDO) - Securities or Mutual Fund

What You Will Bring

• Thorough understanding of Canadian securities laws and regulations applicable to fixed income products and trading
• Experience of trade/portfolio compliance monitoring, ideally using Charles River systems
• Advanced IT skills including Microsoft Office, particularly Word, Excel and Outlook;
• Bloomberg would be an advantage
• Strong analytical and problem-solving abilities as well as attention to detail
• Excellent communication skills and ability to work independently and as a member of a multi-disciplinary team

Fidelity Benefits and Perks!

• Competitive total compensation package
• Opportunity to participate in Fidelity profit-sharing program
• Company contributes into your RRSP, without a matching requirement from you
• Health benefits and coverage, with no requirement for employee paid premiums, including up to $5000 for therapy
• Health Care Spending Account
• TELUS Health Virtual Care app
• Health and Fitness Reimbursement
• Up to $650 for home office equipment
• Generous time off policy
• 2 paid days annually to volunteer
• Access to over 11,000 training and development courses
• Tuition reimbursement
• Monetary awards for completing a required designation
• Annual dues reimbursement for professional designations
• Pregnancy/Parental/Adoption Leave - Fidelity will top-up to 100% of your salary for a period of 25 weeks

Fidelity Canada is an equal opportunity employer Fidelity Canada is committed to fostering a diverse and inclusive workplace. We will consider all qualified applicants for employment regardless of race, color, religion, sex, sexual orientation, gender identity or expression, national or ethnic origin, age, disability, family status, protected veterans status, Aboriginal/Native American status or any other legally-protected ground. Accommodation during the application process Fidelity Canada welcomes and encourages applications from people with disabilities. Accommodations are available on request for candidates taking part in the selection process. If you require an accommodation, please email us at FidelityCanadaStaffing@fidelity.ca . No telephone inquiries or agencies please. We thank all applicants for their interest, please be advised that only those selected for an interview will be contacted. Why Work at Fidelity? We are proud to be recipients of the following: Awards

• Canadas Top 100 Employers

o Greater Torontos Top Employers o Canadas Top Family-Friendly Employers o Canadas Top Employers for Young People

• Great Place To Work® Certified

o Best Workplaces for Inclusion o Best Workplaces for Mental Wellness o Best Workplaces for Todays Youth o Best Workplaces for Women o Best Workplaces in Financial Services & Insurance o Best Workplaces in Ontario o Best Workplaces with Most Trusted Executive Teams

• LinkedIn Top Companies in Canada

• Human Resource Director (HRD) - Best Place To Work

o HRD - 5-Star Benefit Program o HRD - 5-Star Diversity & Inclusion Employer Designations

• Canadian Compassionate Companies - Certified
• Benefits Canadas Workplace Benefits Award - Future of Work Strategy
• TalentEgg National Recruitment Excellence Award - Special Award for Diversity & Inclusion in Recruiting
• Canadian HR Reporters Most Innovative HR Team

Information :

• Company : Fidelity Investments
• Position : Investment Compliance Manager
• Location : Toronto, ON
• Country : CA