Join Fidelity as a Senior Operations and Regulatory Compliance Specialist to leverage your skills in a adaptable hybrid role. Drive compliance excellence within a respected financial services organization.
Reporting to the Director of Operations and Regulatory Compliance, you’ll be a key figure in monitoring compliance policies and supporting regulatory matters. You will collaborate closely with business units, conduct compliance training, and ensure adherence to securities regulations and privacy standards. This role also involves providing guidance on sales communications and implementing innovative compliance programs.
Key Responsibilities:
• Review and approve sales communications for compliance • Conduct regular compliance monitoring and reporting • Maintain updated compliance policies and procedures • Prepare training materials for various stakeholders • Develop compliance-enhancing programs and initiatives
Requirements: • At least 4 years of compliance experience required • Familiarity with mutual fund regulations (NI 81-102, NI 31-103) • Strong communication and analytical abilities • Good knowledge of mutual fund operations • Enrollment in Canadian Securities Course is preferred
Utilize your talent for compliance and operational integrity to positively impact Fidelity and its clients. #J-18808-Ljbffr