Forms Compliance Manager - Toronto, Canada - Fidelity Investments

Fidelity Investments

Verified Company

Toronto, Canada

2 weeks ago

Posted by:

Sophia Lee

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Description

Job Description

Current work authorization for Canada is required for all openings.

You will be working on a Hybrid office schedule as part of Fidelity's dynamic working arrangement.

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:

This role is responsible for overseeing the development, implementation, and maintenance of forms used for internal and external purposes, specific and related to account opening and other ongoing account update and maintenance activities.

The Forms Compliance Manager will be responsible for establishing, communicating, implementing and refining effective and efficient processes for forms development and updates.

The forms compliance manager reports to the Policy & Procedure Director and works closely with various departments to proactively gather requirements for changes in existing forms or entirely new forms, designs, tests, and updates forms as needed.

What You Will Do:

Collaborating with key stakeholders to gather and understand requirements for forms used in internal and external processes, including review with clients and FCC internal teams.
Establishment and adherence to a forms approval and oversight process
Standard and efficient form change intake process
Regularly report on forms changes to key stakeholders
Client, including Fidelity Investments Canada, feedback is collected and taken into consideration during design of new forms as well as updates.
Inventory Planning and Maintenance. Assessing existing forms catalogue to determine/identify duplication and required updates and ongoing maintenance.

Measures:

All forms are current, reflecting any changes in internal processes or regulations
Ensuring they comply with regulators
Updated forms follow a stringent versioning process
Clients have access to the most recent version of each form and each form is available and kept up to date in the forms library of uniFide.
All forms are available in English and French
Create a regular cadence of internal reviews
Keep current on regulatory changes and new forms and/or revisions required.
Designing and developing forms (and revising existing forms) in conjunction with internal and external vendor partners. Ensure typographical standards as well as Fidelity and client brand standards are closely followed to ensure consistent high quality deliverable that comply with regulatory and compliance standards. Track and manage all changes and forms requests.
Demonstrates a clear understanding of FCC operations departments and how FCC's clients interact with them
Demonstrates an understanding of documentation requirements for various requests processed by FCC operations and compliance departments.
Forms are updated or developed in a timely fashion.
Thorough testing of forms to ensure accuracy, completeness, and functionality
All forms meet the standards of FCC and FCC clients, including Fidelity Investments Canada
Consistent language across all forms
No errors on forms
Providing training and support to employees, FCC product and development teams and/or clients on how to use and complete forms
Up to date forms are implemented accurately across FCC account opening and processing systems
FCC operations, compliance, product and development teams have a clear understanding of how the form is used.
All forms are updated in a timely fashion as changes are required.
Assist Director of Policy and Procedures as required.

Measures

Demonstrates desire to work collaboratively to meet deadlines

The Expertise You Bring:

Excellent written and oral communications skills. The ability to effectively interact with a wide range of internal and external clients, including Fidelity Investments Canada,/vendors ranging from junior operations staff to senior management.
Diplomacy, calm and problemsolving abilities demonstrated "under pressure"
Excellent organizational skills and ability to work with mínimal supervision. Adept at multitasking, highly organized and managing many initiatives/projects simultaneously
Thorough understanding of regulatory compliance requirements and best practices for forms design and development
Proven experience managing or working as part of complex, crossfunctional projects. Projec