Compliance, Treasury, Risk and Legal
FMR LLC.
Toronto, Ontario, CA
10h ago

Compliance, Treasury, Risk and Legal

Compliance

The objective of the Compliance department is to establish and monitor compliance programs for Fidelity businesses operating in Canada.

The department provides support to business units to ensure that statutory and regulatory requirements are fulfilled.

Fund Treasurer's Office

The role of the Fund Treasurer's Office is to protect the interest of fund unitholders by providing financial and operational oversight of all fund related activities.

The fund treasurer is responsible for ensuring all service providers to the funds are meeting expectations based on internal guidelines and regulatory requirements.

The Treasurer’s Office is also responsible for filing all required fund financial and tax information, and is involved in the launch of new funds and the restructuring of existing funds.

Risk

The role of the Risk department is to design, promote and maintain a risk management program for Fidelity Canada that is consistent with the overall Fidelity Investments program.

The key attributes of the program are : governance, process, monitoring and reporting, training and awareness. The key goal of the Risk department is to ensure risks are being identified, assessed, managed, escalated and reported in accordance with established policies and procedures.

Legal Services

The Fidelity Legal department provides legal services to all aspects of Fidelity Canada's business. These legal services include :

  • preparing and maintaining disclosure documents and material contracts
  • providing legal advice on new products
  • interpreting securities and other laws
  • providing board and corporate legal support
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