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Senior Sales Compliance Analyst — Hybrid
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Toronto, Canada Fidelity International Full timeA financial services company in Toronto is seeking a Sales Compliance Analyst Sr. to oversee business entertainment and workplace gifts policies. The role involves compliance support, monitoring, and reporting in a dynamic hybrid environment. Candidates should have 3+ years of relevant experience, excellent analytical skills, and a college degree. Bilingual...
Sales Compliance Analyst Sr
2 weeks ago
Description Sales Compliance Analyst Sr Please note: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.The Opportunity:Reporting to the Manager, Sales Compliance, the Sales Compliance Analyst Sr is responsible for monitoring and oversight of Fidelity’s Business Entertainment and Workplace Gifts Policy (“BEWG”) and Sales Practices Policy and Procedures. The role entails the review and approval of co-operative marketing requests, completion of daily monitoring and reporting, and advisory services to the advisor and institutional sales teams on a day-to-day basis.What You Will Do:Advisory Services - Provide ongoing compliance support to the organization on BEWG and Sales Practices policy and procedures. Provide compliance oversight and support for all NI 81-105 5.2 event related activities, including dealer consent, invitation and registration management, coordination of approvals, and organized group events for emerging business lines.Monitoring - Conduct and document compliance monitoring results in respect of BEWG and Sales Practices Programs.Projects - Act as subject matter expert (SME) and provide compliance support on compliance and cross-divisional projects.Maintain and enhance training programs on FIC’s BEWG and Sales Practices policy and procedures.Reporting - Prepare accurate and timely materials for the Manager, Sales Compliance and various internal committees on a recurring basis.The Expertise You Bring:Knowledge of National Instrument 81-105, Fidelity’s sales practices policy and proceduresExcellent analytical, writing, oral communication, research, investigatory, presentation, and interpersonal skillsProficient in MS Suite - Word, Excel, PowerPointAbility to take initiative, work independently and handle multiple tasksExcellent time management skills with the ability to work under tight deadlinesCommitment to excellenceWhat We’re Looking For:3+ years of relevant work experience required, withmore than 2 years of mutual fund manager or dealer experience, most recently in a Sales Compliance or related role.College Degree or equivalent work experience required.Canadian Securities Course/Canadian Investment Funds Courses are preferred.Bilingualism in French and English is an asset.
