Description:
Reporting to the Director, Operations and Regulatory Compliance, the Operations and Regulatory Compliance Specialist Senior is responsible for completing regular monitoring and reporting on operational compliance matters, maintaining and updating compliance policies, preparing and presenting materials for executive committees, and providing ongoing support on regulatory matters to various business units. The Senior Specialist is also responsible for supporting the review and approvals of sales communications.
The individual ensures compliance standards are continuously and accurately monitored, communicated and updated for the programs related to securities regulations, registered plans, privacy, estates, conflicts of interest, registrations and more.
How You’ll Make An Impact
- Act as subject matter expert for reviewing and approving advertisements and sales communications produced by Fidelity Canada for retail and institutional businesses in accordance with the requirements of NI 81-102 Part 15; including presentation materials, webcasts, whitepapers and various reports.
- Review social media content created by Fidelity Investments to be used for Reddit discussions, Meta, YouTube, organic social posts and paid ads. This may also include reviewing employee social media posts.
- Continuous improvement of various Compliance programs which may include, but not limited to Sales Communications Policy, Registered Plans, Missing Information Requirements, FATCA/CRS, Compliants, Short-Term Trading, Transfer Agency Error Corrections, and institutional programs.
- Represent Compliance, establish strong relationships, and implement compliance accountability on projects initiated by stakeholders across the organization.
- Keeping up to date with regulatory changes and staff notices to support the creation or update of policies and procedures related to Operations and Regulatory Compliance.
- Support the business by creating, updating and implementing different training and communications to keep stakeholders at all levels informed of developments and changes that may affect them.
- Conduct and document compliance monitoring results in respect of Operations and Regulatory Compliance programs.
- Develop new and update existing compliance policies to comply with applicable regulations.
- Prepare materials for various committees, compliance training programs and communications for regulatory updates.
- Act as subject matter expert and provide compliance support on compliance and cross-divisional projects.
What We’re Looking For
- Minimum of 4 years mutual fund manager or dealer experience, most recently in a Compliance or related role required.
- Knowledge of sales communication requirements in accordance with National Instrument (“NI”) 81-102 and corresponding regulatory guidance.
- Post secondary degree or equivalent experience
- Experience in mutual fund operations is an asset
- Bilingualism in English and French is an asset
- Enrollment in Canadian Securities Course (CSC), Canadian Investment Funds Course is an asset