Operations and Regulatory Compliance Specialist Sr

Job Description

Operations and Regulatory Compliance Specialist Sr

Please note:

• Current work authorization for Canada is required for all openings.
  
  
• This is a regular, full-time role.
  
  
• You will be working on a flexible hybrid schedule as part of Fidelity’s dynamic working arrangement.
  
  

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, Privacy, FATCA/CRS, 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 or client services 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 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

Internal applicants should submit their application by 6:59 PM on June 3rd, 2025. 

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 [email protected].

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

•    Canada's Top 100 Employers
o    Greater Toronto's Top Employers
o    Canada's Top Family-Friendly Employers
o    Canada's 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 Today's 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 Canada's Workplace Benefits Award - Future of Work Strategy 
•    TalentEgg National Recruitment Excellence Award - Special Award for Diversity & Inclusion in Recruiting 
•    Canadian HR Reporter's Most Innovative HR Team