Regulatory Compliance Manager

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._
- _Please note this is a contract position until end of December 2026_

Who We Are

How You’ll Make an Impact

Multi-layered account structure review & Documentation review- Conduct review of multi-layered account structure and advise documentation requirement- Provide assistance with various client account documentation management- Provide guidance/answer inquiries relating to QI/FATCA/CRS

Anti-Money Laundering- Ensuring all incidents are escalated appropriately to the Director, Policies, Procedures and Privacy FCC- 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 incident report process

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.- Co-author new policies and procedures with the P&P Director,- 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 with answering and/or guidance with general compliance inquiry- Assist with review of fund movement requests and escalations- Act as a backup for monitoring of employee trading.

Incident escalation and management- Ensure all incidents are escalated appropriately to the Director, Policies, Procedures and Privacy FCC- Assist with regulatory reporting of high-risk items to either FINTRAC or CIRO.- Record keeping and retention of all back up materials.- Analyze daily trade activity to determine flags which are appropriately tracked.

What We’re Looking For- 5 or more years’ experience in the investment dealer industry, including experience in compliance roles- Completion of University degree- Strong understanding of the rules and regulations (securities/AML /privacy)- Obtained or working towards CSC

What You Will Need- Strong analytical skills.- Working knowledge of QI/FATCA/CRS, Canada’s AML regulations applicable to a Broker Dealer and other CIRO and CSA regulations.- Strong communication, written, verbal and presentation skills.- High level of proficiency with Microsoft Excel and Access. Good working ability with MS Word and PowerPoint.- Strong interpersonal skills; proficient at providing and accepting feedback.

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, color, religion, sex, sexual orientation, gender identity or expression, national or ethnic origin, age, disability, family status, protected veterans’ status, Aboriginal/Native American status or any other legally-protected ground.


No telephone inquiries or agencies please. We thank all applicants for their interest, please be advised that only those selected for an interview will be contacted.

Why Work at Fidelity?

We are proud to be recipients of the following:
Awards
- Canada's Top 100 Employers
- Greater Toronto's Top Employers
- Canada's Top Family-Friendly Employers
- Canada's Top Employers for Young People
- Great Place To Work® Certified
- Best Workplaces for Inclusion
- Best Workplaces for Mental Wellness
- Best Workplaces for Today's Youth
- Best Workplaces for Women
- Best Workplaces in Financial Services & Insurance
- Best Workplaces in Ontario
- Best Workplaces with Most Trusted Executive Teams
- LinkedIn Top Companies in Canada
- Human Resource Director (HRD) - Best Place To Work
- HRD - 5-Star Benefit Program
- HRD - 5-Star Diversity & Inclusion Employer

Designations
- Canadian Compassionate Companies - Certified
- Benefits Canada's Workplace Benefits Award - Future of Work Strategy
- TalentEgg National Recruitment Excellence Award - Special Award for Diversity & Inclusion in Recruiting
- Canadian HR Reporter's Most Innovative HR Team