Dealer Compliance Manager

Job Description

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.

What You Will Do:
Reporting to the Manager, Dealer Compliance, the Dealer Compliance Manager is responsible for administering and enhancing the compliance program along with the Vice President, CCO Dealers and Manager, Dealer Compliance. The Dealer Compliance Manager will ensure compliance standards are continuously and accurately monitored, communicated, and updated while ensuring robust policies and procedures exist and are kept up to date on a regular basis.

The Dealer Compliance Manager is also responsible with assisting the Manager, Dealer Compliance and the Vice President, CCO Dealers with management and board reporting, representing the FIC Dealer Compliance department on corporate initiatives and projects involving dealer activities. The Dealer Compliance Manager will work with the Manager, Dealer Compliance and the Vice President, CCO Dealers on regulatory reviews/queries, internal and external audit reviews, and client complaints.
- Regulatory Filings
- Maintain the regulatory filings calendar and ensure reminders are sent to the applicable parties in a timely and efficient manner
- Follow established processes to complete regulatory filings within required deadlines.
- Support the Manager, Operations and Corporate Compliance in the preparation of regulatory filings and reporting
- Projects
- Provide advice consistent with applicable regulations and delivered in a timely manner
- Review Business Requirements Documents and work with the business analysts, project managers and other stakeholders to resolve issues and discrepancies
- Policies and Procedures
- Create and/or update of policies and procedures related to Fidelity Wealth and other Fidelity Canada businesses supported by Dealer Compliance
- Assist the Manager, Dealer compliance in the creation, updates and administration of applicable policies and procedures related to dealer compliance oversight program
- Stay up to date on regulatory changes and analyze their impact to Fidelity’s business and operations
- Create necessary decks and summaries for approvals by various committees and the board of directors
- Compliance Oversight
- Assist in creation and development of a compliance oversight program and in continued improvement initiatives
- Stay up to date on NI 31-103 regulatory changes and analyze their impact to Dealer Compliance oversight responsibilities
- Perform branch audits, examinations under Fidelity Wealth audit program and investigations to complaints and regulatory inquiries.
- Demonstrated Tier 1 surveillance and act as Tier 1 supervision back-up, and as back-up to Manager, Dealer Compliance and other members on the FIC Dealer Compliance team, as required.
- Training and Communication
- Liaise with different stakeholders to identify their needs in relation to Compliance matters and topics
- Deliver training as agreed with the business in formal training sessions on lunch and learns
- Create, update, and implement training programs and communications to keep stakeholders at all levels informed of developments and changes that may affect their daily work

What We Are Looking For:

- Minimum 6 years of dealer and/or discretionary portfolio manager experience, most recently in a compliance or related role
- Relevant compliance experience at a CIRO dealer (formerly MFDA or IIROC)
- Current registration as a Supervisor with CIRO or have the required proficiencies to be able to be registered within an agreed upon time frame
- University degree or relevant work experience

Assets:

- Canadian Securities Course or Canadian Investment Funds Course
- CPH
- Options/Derivatives
- Bilingualism (English/French)

The Expertise You Bring
- Strong knowledge of securities and other regulations applicable to dealer activities and discretionary portfolio managers
- Excellent analytical, research, and investigatory skills
- Excellent written and oral communication skills
- Strong interest and understanding of technology
- Effective prioritization of tasks, ability to deliver under pressure
- Excellent interpersonal and collaborative skills
- Proficient in Microsoft Word, Excel, and PowerPoint.
- You will be working on a flexible hybrid schedule as part of Fidelity’s dynamic working arr