Regulatory Compliance Manager

2 weeks ago


Toronto, Canada Fidelity Investments Full time

Job Description

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 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.

Fidelity Clearing Canada (FCC) is the leading independent clearing broker and custodian in the Canadian market. We provide trade execution, clearing, custody and back-office support services to Canadian-based brokerage firms and the Canadian brokerage arms of U.S. based firms.

For more information about Fidelity Clearing Canada, please visit

What We Do

The Compliance Manager will assist the Director, Compliance and the Chief Compliance Officer (CCO) in ensuring that FCC meets all its regulatory requirements in trading, clearing, and custody business. The Compliance Manager is primarily responsible for the daily operations, including but not limited to AML program, privacy and inquiry responses. Role will entail representing FCC Compliance on internal project committees on AML and privacy related projects. In addition, position will involve direct responsibility for regulatory reporting and acting as a backup to other members of the FCC Compliance team. Position also involves direct responsibility for compliance related testing as well as acting as backup for testing performed by other members of the FCC Compliance team. Incumbent will be required to lead regular reviews and updates of policies & procedures, will co-lead management and implementation of new compliance initiatives. Position also involves direct participation, in some cases acting as lead for internal/external regulatory audits. The position reports to Director, Compliance.

How You’ll Make an Impact

Anti-Money Laundering- Ensuring all incidents are escalated appropriately to the Director, Compliance and/or Chief Compliance Officer.- Assist with regulatory reporting and monitoring of high-risk items- Developing and updating policy and procedures- Managing the transaction and sanction monitoring programs

Privacy- Analyze, interpret and communicate privacy rules- Update and develop Privacy Policies- Manage Privacy investigations - In conjunction with the Director, will manage privacy investigations of varying magnitudes to ensure FCC follows appropriate regulatory and internal policy/guidelines and provide recommendations

Regulatory review and reporting.- Review and assessment of new IIROC rules, CSA regulations as well as AML and privacy laws.

Compliance and risk support- Advise, train, and develop awareness of compliance related issues among FCC staff which may involve both staff training and support.- Interpret both internal policies and regulatory instruments to resolve both client and staff related issues.- Assist with regulatory audit requests- Complete regulatory reporting such as short position reporting, Large Open Position Reporting and Fixed income reporting.- Update and review existing policies and procedures annually or as required.- Act as a backup for response to regulatory requests.- Assist as required in processing and analysis of risk daily workflow.- Assist in answering wire reviews and escalations- Manage staff registrations and NRD maintenance- Act as a backup for monitoring of employee trading.

Incident escalation and management- Ensure all incidents are escalated appropriately to the Director, Compliance and/or Chief Compliance Officer.- Assist with regulatory reporting of high-risk items to either FINTRAC or IIROC.- Record keeping and retention of all back up materials.- Analyze daily trade activity to resolve flags which are appropriately tracked.- Perform quarterly analytics on flagged orders to identify patterns of abusive trading activity.- Assist with compliance inquiries and work with applicable teams to provide guidance and/or resolution to clients.

CRM II related monitoring and testing- Assist with the development and execution of testing measures for Performance Reporting. Fee Disclosure Reporting, Last vs Bid and Ask pricing discrepancies and statement disclosure.- Participate in CRM II yearly reporting as Compliance contact for the project

What We’re Looking For- University Degree in a related field.- 5+ years of experience in broker/dealer relations, compliance, and/or operations-
- Must have



  • Toronto, Canada Fidelity Investments Full time

    Description Regulatory Compliance Manager FCC This is a hybrid role with a mix of remote and in-office working 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...

  • Compliance Officer

    1 week ago


    Old Toronto, Canada Canadian Investment Regulatory Organization Full time

    40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN DescriptionPosition Title: Compliance Officer (MFD)Department: Business Conduct ComplianceRegion: TorontoStatus: Permanent Full-time (Hybrid)CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt...

  • Compliance Officer

    1 week ago


    Old Toronto, Canada Canadian Investment Regulatory Organization Full time

    40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN DescriptionPosition Title: Compliance Officer (MFD)Department: Business Conduct ComplianceRegion: TorontoStatus: Permanent Full-time (Hybrid)CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt...

  • Compliance Officer

    1 week ago


    Old Toronto, Canada Canadian Investment Regulatory Organization Full time

    40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN DescriptionPosition Title: Compliance Officer (MFD)Department: Business Conduct ComplianceRegion: TorontoStatus: Permanent Full-time (Hybrid)CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt...

  • Compliance Officer

    7 days ago


    Toronto, ON, Canada Canadian Investment Regulatory Organization Full time

    40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN Description Position Title: Compliance Officer (MFD) Department: Business Conduct Compliance Region: Toronto Status: Permanent Full-time (Hybrid) CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt...


  • Toronto, Canada Humanity Full time

    Company Description Jobs for Humanity is dedicated to building an inclusive and just employment ecosystem. Therefore, we have dedicated this job posting to individuals coming from the following communities: Refugee, Neurodivergent, Single Parent, Blind or Low Vision, Ethnic Minority, and the Previously Incarcerated. If you identify with any of the following...


  • Toronto, Canada Choice One Medical Full time

    Compliance and Regulatory Specialist (International Registrations) Job Overview: As a Compliance and Regulatory Specialist focusing on International Registrations, you will play a critical role in ensuring that our organization adheres to all relevant regulations and standards in various jurisdictions for product registrations. You will work closely with...


  • Toronto, ON, Canada S I Systems Full time

    Intermediate level IT Audit and Compliance Specialist required to ensure that our Client's IT systems and processes comply with relevant regulations, industry standards, and best practices. (2024-008) Our GTA based, Municipal Government client requires the services of an Intermediate level IT Audit and Compliance Specialist for ensuring that our Client's IT...


  • Toronto, Canada Peoples Trust Full time

    Job Details Description About us: Peoples Group is a boutique Financial Institution with offices located in Vancouver, Calgary, Toronto, and Montreal that has been in the Canadian marketplace for over 30 years. Our mission is to exceed our customers' expectations by providing exceptional customer service backed by extensive product knowledge...


  • Toronto, ON, Canada Canadian Imperial Bank of Commerce Full time

    Senior Consultant, Regulatory Compliance Management page is loaded Senior Consultant, Regulatory Compliance Management Apply locations Toronto, ON time type Full time posted on Posted 2 Days Ago job requisition id 2409532 We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to...


  • Old Toronto, Canada Canadian Imperial Bank of Commerce Full time

    Senior Consultant, Regulatory Compliance Management page is loaded Senior Consultant, Regulatory Compliance Management Apply locations Toronto, ON time type Full time posted on Posted 2 Days Ago job requisition id 2409532 We’re building a relationship-oriented bank for the...


  • Old Toronto, Canada Canadian Imperial Bank of Commerce Full time

    Senior Consultant, Regulatory Compliance Management page is loaded Senior Consultant, Regulatory Compliance Management Apply locations Toronto, ON time type Full time posted on Posted 2 Days Ago job requisition id 2409532 We’re building a relationship-oriented bank for the...


  • Old Toronto, Canada Canadian Imperial Bank of Commerce Full time

    Senior Consultant, Regulatory Compliance Management page is loaded Senior Consultant, Regulatory Compliance Management Apply locations Toronto, ON time type Full time posted on Posted 2 Days Ago job requisition id 2409532 We’re building a relationship-oriented bank for the...

  • Senior Consultant

    3 weeks ago


    Toronto, ON, Canada Canadian Imperial Bank of Commerce Full time

    Senior Consultant, Regulatory Compliance Management page is loaded Senior Consultant, Regulatory Compliance Management Apply locations Toronto, ON time type Full time posted on Posted 2 Days Ago job requisition id 2409532 We’re building a relationship-oriented bank for the modern world. The Regulatory Compliance Management (RCM) team provides timely...


  • Toronto, Canada RSM US LLP Full time

    We are the leading provider of professional services to the middle market globally, our purpose is to instill confidence in a world of change, empowering our clients and people to realize their full potential. Our exceptional people are the key to our unrivaled, inclusive culture and talent experience and our ability to be compelling to our clients. You’ll...


  • Toronto, Canada The MEARIE Group Full time

    **Director - Regulatory Compliance** **49343 - Toronto - Regular** Hydro One is proud to be the largest electricity transmission and distribution provider in Ontario, serving nearly 1.4 million customers. We have a long history in the industry with our roots dating back over 110 years to 1906. Since then, we have worked to grow and evolve to meet the...

  • Compliance Officer

    6 days ago


    Toronto, Canada Investment Industry Regulatory Organization of Canada (IIROC) Full time

    Reference# 1049 **Position Title: Compliance Officer (MFDA Division)** **Department: Compliance** **Region: Toronto** **Status: Permanent Full-time (Hybrid)** New SRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces. New SRO is carrying on...


  • Old Toronto, Canada Canadian Investment Regulatory Organization Full time

    40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN DescriptionPosition Title: Director, Trading Conduct ComplianceDepartment: Human Resources and Organizational EffectivenessLocation: TorontoStatus: Permanent Full-time (Hybrid)The Director of Trading Conduct Compliance (TCC) will lead our Toronto team, and in collaboration with other...


  • Toronto, ON, Canada Canadian Investment Regulatory Organization Full time

    40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN Description Position Title: Director, Trading Conduct Compliance Department: Human Resources and Organizational Effectiveness Location: Toronto Status: Permanent Full-time (Hybrid) The Director of Trading Conduct Compliance (TCC) will lead our Toronto team, and in collaboration with other...


  • Old Toronto, Canada Canadian Investment Regulatory Organization Full time

    40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN DescriptionPosition Title: Director, Trading Conduct ComplianceDepartment: Human Resources and Organizational EffectivenessLocation: TorontoStatus: Permanent Full-time (Hybrid)The Director of Trading Conduct Compliance (TCC) will lead our Toronto team, and in collaboration with other...