23 Jul 2024
Full-Time Sr Investment Compliance Analyst – Contract
Job Description
*Please note this is a 6 month contract
You will be working on a flexible hybrid schedule as part of Fidelity’s dynamic working arrangement
Current work authorization for Canada is required for all openings.
What You Will Do
Support the FIC Investment Compliance program.
- Work with FIC Traders and other members of the investment teams to answer regular and ad hoc queries.
- Provide information and guidance on interpretation of rules and analysis of information based on requester’s needs.
- Determine needs and prioritization of new initiatives and work with other internal service providers to determine how compliance requirements can be fulfilled.
- Obtain and filter relevant trading data and compliance reports from in- house trading systems and data
- Collaborate with other global compliance teams to ensure reporting consistency
- Review, investigate and potentially escalate trading exceptions on a daily basis
- Independently test and verify investment guideline limits and rule methodologies for National Instrument 81-102 mutual funds and separate accounts
Provide summary reporting on compliance program and summarize issues for regular reporting, compliance certifications and consultant queries
- Through completion of oversight activities, provide attestation of compliance noting any issues encountered over the period. Gather inputs and complete regular reporting materials for boards, senior management and other stakeholders.
- Answer questions from external parties on internal processes and oversight programs
Work with other functional teams to oversee funds
- Work with cross functional groups on ongoing changes to funds through their lifecycle providing information on compliance requirements and limits.
- Provide updates when necessary as regulatory landscape evolves in relation to the funds in different stages of their lifecycle
- Work and provide support to other teams from an Investment Compliance perspective
- Work with other teams ⎯ Asset Management Compliance & FIL Portfolio Monitoring – Work with AMC & FIL teams to answer questions on guideline interpretation, regulatory rules, fund set up and security level questions.
Manage collection of inputs for regulatory queries and surveys and assist with other ad hoc projects.
- Coordinate with other departments across the company to gather data for responses to regulatory inquiries.
- Remain on top of external industry and regulatory changes that may affect decisions from within investment compliance.
- Assist in any ad hoc projects providing timely and accurate completion of project deliverables by deadlines.
What We’re Looking For
- 3+ years of relevant compliance experience in asset management space
- Compliance related experience with focus on investments and experience in asset management/mutual fund company
- University degree in business administration, finance, economics, other related field or equivalent work experience
- Canadian Securities Course or equivalent designation is a must have
- Designations such as CFA, CPA, FRM or other professional designation is an asset
How to Apply
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