- Title: Bilingual Operations and Corporate Compliance Specialist Sr
- Employer: Fidelity Investments
- Display Date: 2019-08-08
- Location: Toronto, ON
- Salary: Not available
- Preferred application method: temps plein
The Compliance Department is responsible for establishing and maintaining compliance policies for Fidelity Investments Canada ULC, and reporting to various committees and Senior Management on material compliance matters and regulatory developments.
Reporting to the Manager, Operations & Corporate Compliance, the Bilingual Operations & Corporate Compliance Specialist Sr is responsible for completing regular monitoring and reporting of compliance matters, maintaining and updating compliance policies, preparing presentation materials for executive committees, and providing ongoing support on regulatory matters to various business units.
What You Will Do:
Develop new and update existing compliance policies to comply with applicable regulations
Conduct compliance monitoring in respect of various regulations and policies, including NI 31-103, NI 81-102, and code of ethics policies
Provide ongoing compliance support to Client Services, Sales, and other business units on compliance matters, including short-term trading, KYC/suitability (for in-house accounts), and estates
Act as subject matter expert and provide compliance support on projects
Prepare and deliver training and internal communications in respect of various regulatory requirements
What We’re Looking For:
Completion of post-secondary education or university degree, or equivalent work experience
Minimum of 4 years mutual fund manager or dealer experience, including 2 years in a Compliance or related role.
Bilingualism in English and French is required.
Canadian Securities Course (CSC) or Canadian Investment Funds Course (IFIC) or comparable course required, or willingness to enroll within 6 months of hiring.
Experience in mutual fund operations or client services is an asset.
The Expertise You Bring:
You have excellent writing, oral communication, research, and analytical skills.
You are fully bilingual (verbal and written) in both French and English.
You possess a good understanding of mutual fund compliance and operations.
You are knowledgeable about various mutual fund regulations, including NI 31-103, NI 81-102, and KYC/suitability.
You ideally have knowledge of operational matters such as short-term trading.
You are a team player and are able to work independently and with various individuals from different business units.
You have strong proficiency in Microsoft Excel.
By applying to this job, you are consenting to receive an automated acknowledgement of your application. 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 e-mail us at:
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:
Canada’s Top 100 Employers (2019)
Greater Toronto's Top Employers for 2019
Canada’s Top Family Friendly Employers (2019)
2018 National HR Awards - Queen’s University IRC Professional Development Award
A Canadian Compassionate Company
An Imagine Canada Caring Company
To view the original job posting and apply for this position, please follow the link below:
Expiration Date: 2019-08-22