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 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

What You Will Do:
Compliance and risk support- Review and resolve general inquiries and daily operational requests in the Compliance mailbox and system platforms- Assist with request escalations to ensure requests are resolved accordingly- Assist as required in processing and analysis of risk daily workflow.- Assist with answering and/or guidance with general compliance inquiry- Assist with regulatory audit requests- Analyze and respond to regulatory requests- Assist with advising, training, and development of awareness on 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 update and review existing policies and procedures annually or as required.- Assist with regulatory report testing- Collaborate with team members and internal clients to improve/streamline processes

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 CIRO and/or other regulators.- Record keeping and retention of all back up materials.

Trade surveillance- Assist with regulatory reporting such as short position reporting, Large Open Position Reporting and Fixed income reporting.

What You Will Bring- Strong analytical skills.- Deep understanding and working knowledge of industry related topics, such as QI/FATCA/CRS, AML regulations, fundamental trading knowledge, compliance and supervision knowledge and other CIRO and CSA regulations- Strong communication, written, verbal and presentation skills.- High level of proficiency with Microsoft Excel. Good working ability with MS Word and PowerPoint.- Strong interpersonal skills; proficient at providing and accepting feedback.- Working knowledge of Salesforce

What We’re Looking For- 5 or more years’ experience in the investment dealer industry, including experience in compliance roles- Completion of University degree- Comprehensive knowledge of security industry rules, include but not limited to securities, mutual funds, AML, privacy etc.- Obtained or working towards CSC and/or working towards Certificate in Investment Dealer Compliance- Experience in managing mailbox with various types of requests in a fast-paced environment- Strong interpersonal, communication, written, verbal and presentation skills; proficient at providing and accepting feedback.- High level of proficiency with Microsoft Office

Fidelity Benefits and Perks- 100% remote and hybrid work arrangements- Competitive total compensation package- Opportunity to participate in Fidelity profit-sharing program- Company contributes into your RRSP, without a matching requirement from you- Health benefits and coverage, with no requirement for employee paid premiums, including up to $5000 for therapy- Health Care Spending Account- TELUS Health Virtual Care app- Health and Fitness Reimbursement- Up to $650 for home office equipment- Generous time off policy- 2 paid days annually to volunteer- Access to over 11,000 training and development courses- Tuition reimbursement- Monetary awards for completing a required designation- Annual dues reimbursement for professional designations- Pregnancy/Parental/Adoption Leave - Fidelity will top-up to 100% of your salary for a period of 25 weeks

Fidelity Canada is an equal opportunity employer

Fidelity Canada is committed to fostering a diverse and inclusive workplace. We will consider all qualified applicants for employment regardless of race, colo

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