Operations and Regulatory Compliance Specialist Sr

Description

Who We Are

At Fidelity, we’ve 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 we’re 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 you’ll be part of a diverse and dedicated group of people who make a real difference for our clients and communities every day. You’ll have a wide range of opportunities to grow and develop your career in an inclusive environment where you’ll feel valued and supported to be your best - both personally and professionally.

Business Overview

As part of the Fidelity Oversight Division, 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.

Role Overview

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

The Expertise you Bring:

• You are knowledgeable about various mutual fund regulations, including NI 31-103, NI 81-102, NI 81-105, NI 45-106, PIPEDA, FATCA/CRS, and Estates Law.
• You are an excellent verbal and written communicator and have strong research and analytical skills
• You work well under pressure, adapting and working effectively in a variety of situations with numerous management levels.
• You possess a good understanding of mutual fund compliance and operations.
• Good understanding of fund manager operational practices
• Excellent analytical, writing, oral communication, research, investigatory, presentation, and interpersonal skills
• Ability to take initiative, work independently and handle multiple tasks
• Excellent time management skills with the ability to work under tight deadlines
• Commitment to excellence
• Proficient in Microsoft Word, Excel and PowerPoint

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

Total Rewards That Reflect Your Impact

We believe exceptional work deserves exceptional recognition. That’s why we offer a competitive compensation package designed to support your success today—and your financial well-being tomorrow.

For this role, your total rewards include:

• Base Salary: A competitive annual range of $70,000 to $80,000, based on your experience and qualifications.
• Performance Bonus: Eligible for a discretionary bonus that rewards your contributions and results.
• RRSP Contribution: After 6 months of employment, we invest in your future with an RRSP contribution—no employee matching required.

We’re proud to offer a compensation package that aligns with provincial pay transparency requirements.

This posting represents an existing vacancy within our organization—an opportunity to step into a role where your talents will make a meaningful difference.