Operations and Regulatory Compliance Manager

2 months ago

Toronto, Canada Fidelity Investments Full time

Job Description

This is a fixed term contract role ending in June 2026.

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 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:
As the Operations and Regulatory Compliance Manager, you will report to the Director, Operations and Regulatory Compliance. You will be an individual contributor, 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. Additionally, you are responsible for ensuring compliance standards related to short-term trading, transfer agency errors and escalations, sales communications, securities regulations, institutional programs, privacy, registered plans, estates, conflicts of interest, are continuously and accurately monitored, communicated and updated.

You will also be responsible for supporting the Director, Operations and Regulatory Compliance in the preparation of regulatory filings, management and board reporting and representing the Compliance Department on corporate initiatives and projects. The individual ensures compliance standards are continuously and accurately monitored, communicated and updated for the programs related to securities regulations.

What You Will Do:

- 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.
- Proactively identify emerging risks and continuously seek to enhance departmental efficiency.
- Support the Director, Operations and Regulatory Compliance in the preparation of regulatory filings and reporting.
- Prepare and review monthly and quarterly reporting and presentation materials used for internal management committees and Board Committees.
- Manage and lead the resolution of escalated regulatory matters.
- 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.
- Analyze Compliance programs and monitoring processes to identify areas of improvement or where automation can streamline the process.

What We’re Looking For:

- Completion of post-secondary education or university degree, or equivalent work experience
- Minimum of 6 years of financial services or mutual fund manager experience, including most recently 2 years in a Compliance or related role at a financial services company.
- Canadian Securities Course (CSC) or Canadian Investment Funds Course (IFIC) or comparable course required, or willingness to enroll within 6 months of hiring
- Experience in mutual fund operations or client services is an asset
- Bilingualism in English and French 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.
- Good understanding of fund manager operational practices and possess a good understanding of mutual fund compliance and operations.
- 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 underst

  • Regulatory Compliance Specialist

    2 weeks ago

    Old Toronto, Canada Canadian Investment Regulatory Organization Full time

    Canadian Investment Regulatory Organization is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada's debt and equity marketplaces.Key Highlights:$90,000 - $110,000 per annum (estimated salary range)The role of a Regulatory Compliance Specialist at CIRO involves conducting...

  • Regulatory Compliance Manager

    3 months ago

    Toronto, Canada Alnamo Corp Full time

    _Job Purpose: _ Regulatory Compliance Management (RCM) is an essential element of managing regulatory compliance risk at the Bank. In this position, as a person responsible for the RCM Framework of the Bank, one of the main roles is to identify regulatory risks applicable to the Bank and implement controls to manage the risks. The person will be required to...

  • Insurance Regulatory Manager

    4 weeks ago

    Toronto, Ontario, Canada Financial Services Regulatory Authority of Ontario Full time

    About the RoleThis position is accountable for managing the strategic development, implementation, and ongoing management of the auto insurance accreditation assessment framework, including associated tools and processes and supervisory manual.Main ResponsibilitiesManages the delivery of Auto Insurance Accreditation Program and Risk Assessment programs or...

  • Regulatory Compliance Manager

    5 months ago

    Toronto, Canada Amptal Corp. Full time

    **About us** Amptal Corp. is a staffing and recruiting agency based in Toronto, Canada. This position we are hiring for is a Bank based in North York, Toronto Manager, Regulatory Compliance Regulatory Compliance Management (RCM) is an essential element of managing regulatory compliance risk at the Bank. In this position, as a person responsible for the...

  • Manager, Regulatory Compliance

    6 months ago

    Toronto, Canada ICICI Bank Ltd Full time

    ICICI Bank Canada is a wholly-owned subsidiary of ICICI Bank Limited which has its headquarters in Mumbai, India. ICICI Bank Limited is a leading private sector bank in India. The Bank’s consolidated total assets stood at US$182.8 billion as at December 31, 2019. Established in December 2003, ICICI Bank Canada is a full-service direct bank with an asset...

  • Manager , Regulatory Compliance

    3 months ago

    Toronto, Canada ICICI Bank Ltd Full time

    ICICI Bank Canada is a wholly-owned subsidiary of ICICI Bank Limited which has its headquarters in Mumbai, India. ICICI Bank Limited is a leading private sector bank in India. The Bank’s consolidated total assets stood at US$182.8 billion as at December 31, 2019. Established in December 2003, ICICI Bank Canada is a full-service direct bank with an asset...

  • Regulatory Compliance Manager

    2 weeks ago

    Toronto, Ontario, Canada Fidelity Investments Full time

    About the RoleThis is a hybrid role with a mix of remote and in-office working. 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 new and better ways to help our clients.Job...

  • Manager, Compliance and Operations

    2 weeks ago

    Old Toronto, Canada AlzForum Foundation Inc. Full time

    RetiSpec is a Toronto-based medical AI company that aims to enable widespread early and accurate detection of neurodegenerative disease markers through a simple eye exam. RetiSpec's AI solutions leverage existing retinal imaging cameras available in most eye clinics to provide real-time results at the point of care—this means that the experience is...

  • Regulatory Compliance Manager

    2 weeks ago

    Toronto, Canada Exchange Bank of Canada Full time

    Exchange Bank of Canada (EBC) is a Schedule 1 bank headquartered in Toronto, Canada. Discover the opportunity to join an international, dynamic, and responsible bank that fosters the development of all its employees. Every day, we empower employees to achieve more. As we are a new bank in Canada, each employee is given a unique experience and great...

  • Regulatory Operations Manager, Governance and Compliance

    3 weeks ago

    Toronto, Ontario, Canada Scotiabank Full time

    Job OverviewIn this exciting role, you will contribute to the success of the Regulatory Operations & Controls Department by executing individual goals and initiatives supporting the team's business strategies. You will also align day-to-day activities with the Bank's risk culture, risk appetite statement, and limits. Additionally, you will communicate the...

  • Regulatory Compliance Manager

    5 months ago

    Toronto, Canada PayFacto Full time

    We are currently looking for a Regulatory Compliance Manager to join our team! **Responsibilities**: - Develop and implement AML, compliance, and risk management policies and procedures in accordance with Canadian and US regulations and industry best practices. - Conduct risk assessments to identify potential areas of concern and develop strategies to...

  • Regulatory Compliance Manager

    1 month ago

    Toronto, Ontario, Canada beBee Professionals Full time

    Regulatory Compliance OfficerbeBee Professionals is seeking a highly skilled Regulatory Compliance Officer to join our team in Toronto.Job Description:The Regulatory Compliance Officer will be responsible for ensuring that the company is in compliance with all applicable laws and regulations. This includes monitoring and analyzing changes in laws and...

  • Regulatory Affairs and Compliance Associate

    5 months ago

    Toronto, Canada Apollo Health And Beauty Care Full time

    Apollo Health & Beauty Care (Apollo) is a premium developer of private label and control label health & beauty care products and leverages unique expertise and experience in developing national brand-equivalent products designed to compete equivalently with the most popular national brands. The largest private label and control label personal care...

  • Regulatory Compliance Manager

    1 day ago

    Toronto, ON, Canada Exchange Bank of Canada Full time

    Exchange Bank of Canada (EBC) is a Schedule 1 bank headquartered in Toronto, Canada. Discover the opportunity to join an international, dynamic, and responsible bank that fosters the development of all its employees. Every day, we empower employees to achieve more. As we are a new bank in Canada, each employee is given a unique experience and great...

  • Director of Regulatory Compliance

    3 weeks ago

    Toronto, Ontario, Canada Royal Bank of Canada Full time

    Job SummaryAs a key member of the Group Risk Management team at Royal Bank of Canada, the Director of Regulatory Compliance will be responsible for ensuring the organization's compliance with regulatory requirements and industry standards. This role will involve developing and implementing strategies to mitigate operational risk, while also fostering a...

  • Regulatory Compliance Manager

    3 weeks ago

    Toronto, Canada Fidelity Investments Full time

    Job Description - Please note - This is a contract position ending in December 2026 This is a hybrid role with a mix of remote and in-office working - Current work authorization for Canada is required for all openings._ Who We Are At Fidelity, we’ve been helping Canadian investors build better financial futures for over 35 years. We offer individuals...

  • Regulatory Compliance Analyst

    3 months ago

    Toronto, Canada Canada Guaranty Mortgage Insurance Company Full time

    **Location **| **Work Environment**: Toronto / Hybrid (_This role will be based in Toronto, with a combination of time working directly from the Toronto office and the flexibility of working from a home office environment on selected days.)_ - **Department**:Compliance - **Reporting To**:Director, Corporate Compliance & Governance - **Employment Type /...

  • Regulatory Expert

    1 month ago

    Toronto, Ontario, Canada Financial Services Regulatory Authority of Ontario Full time

    Senior Technical Lead Role Overview:Financial Services Regulatory Authority of Ontario (FSRA) is seeking a highly skilled Senior Technical Lead to join its team. This is a fantastic opportunity for a dedicated and experienced professional to leverage their expertise in regulatory compliance and risk analysis.Key Responsibilities:Regulatory Expertise: Provide...

  • Risk Management Lead for Regulatory Compliance

    2 weeks ago

    Toronto, Ontario, Canada Scotiabank Full time

    Job SummaryThis Senior Manager position is a key role in the Regulatory Operations & Controls Department, responsible for executing individual goals and initiatives that support the team's business strategies.Key ResponsibilitiesAlign day-to-day activities with the Bank's risk culture, risk appetite statement, and limits to ensure efficient operations and...

  • Senior Manager, Regulatory Compliance

    3 months ago

    Toronto, Canada Royal Bank of Canada Full time

    Job SummaryJob DescriptionWHAT IS THE OPPORTUNITY:Reporting to the Director, Regulatory Compliance, Integration Compliance and Operations (ICO) team, this role will primarily support the identification and mitigation of Technology Infrastructure regulatory risk and compliance operational issues and