Dealer Compliance Manager

You will be working on a flexible hybrid schedule as part of Fidelity's dynamic working arrangement.

Company Overview

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, Dealer Compliance, the Dealer Compliance Manager - Registrations is responsible for creating and administering a Registrations program along with the Manager, Dealer Compliance for Fidelity's CIRO registrant dealers, FW and FCC, Fidelity Insurance as well as CSA registrant, Investly (collectively, the "businesses"). Included in the creation of the Registrations program is the tracking of National Registration Database ("NRD") registrations, Continuing Education ("CE") credits for the businesses as well as insurance renewal oversight, including E&O insurance. The Dealer Compliance Manager - Registrations 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 - Registrations is also responsible for the preparation of regulatory filings, assisting the Manager, Dealer Compliance and CCO with management and board reporting, representing the Compliance department on corporate initiatives and projects involving the businesses' activities. The Compliance Manager - Registrations will work with the Manager, Dealer Compliance and CCO on regulatory reviews/queries, internal and external audit reviews and client complaints.

What You'll Do

Regulatory Filings:

Support the Manager, Dealer Compliance in the preparation of regulatory filings, including CE credit tracking and reporting, insurance renewals and NRD registrant filings, as applicable.

• 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.

• Identify opportunities for efficiency and implement improvements to current processes.

• Document formal procedure documents for all regulatory filings.

Projects:

Represent Dealer Compliance and act as subject matter expert on projects initiated by stakeholders across the organization.

• 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.

• Escalate issues or concerns to the Manager, Dealer Compliance.

• Work with the business to find solutions to meet business needs and satisfy regulatory requirements

Policies and Procedures:

Create and/or update of policies and procedures related to the businesses' activities, as applicable.

• Stay up-to-date on regulatory changes and analyze their impact to Fidelity's business and operations.

• Create or update Compliance policies, procedures and risk assessments as required.

• Create necessary decks and summaries for approvals by various committees and the board of directors.

Compliance Oversight:

Assist in the continued development of a compliance oversight program for the businesses.

• Stay up-to-date on regulatory changes impacting NI and NI 31-109, CIRO IDPC and MFD Rules, provincial insurance regulatory framework and analyze their impact to Dealer Compliance oversight responsibilities

Training and Communication:

Assist in the implementation of training programs and communications to keep stakeholders at all levels informed of developments and changes that may affect their daily work, especially in connection with CE credits.

• 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 and maintain job aids and materials that may assist the different business units in identifying and maintaining Compliance rules top of mind.

• Review training decks from L&D for the periodic delivery of mandatory training.

• Draft and circulate Compliance bulletins as required.

Efficiency and Automation:

Identify areas/opportunities for automation to streamline process and enhance efficiency and effectiveness of the compliance function.

• Analyze existing processes to identify efficiencies opportunities and provide ongoing recommendations to strengthen processes.

• Review new or proposed processes to ensure they are not redundant, overly complex or unnecessary.

• Stay up-to-date on technological developments that may assist in streamlining existing processes.

• Create business cases for the implementation of new technologies or processes.

• Drive the implementation of new technologies and operating processes.

What We're Looking For

• Excellent analytical, research, and investigatory skills

• Great 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.

What You'll Bring

• University degree or equivalent experience

• Minimum six years of dealer and/or discretionary portfolio manager experience, most recently in a compliance or related role.

• Relevant experience at a CIRO (previously MFDA or IIROC) dealer, or portfolio manager.

• Bilingualism (English/French) an asset but not mandatory.

• Canadian Securities Course or Canadian Investment Funds Course preferred.

• CPH is an advantage

• Investment Dealer Supervisors' Course and Options/Derivatives knowledge is an asset

Current work authorization for Canada is required for all openings.

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.

Accommodation during the application process

Fidelity Canada welcomes and encourages applications from people with disabilities. Accommodations are available on request for candidates taking part in the selection process. If you require an accommodation, please email us at

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 
o    Greater Toronto's Top Employers 
o    Canada's Top Family-Friendly Employers 
o    Canada's Top Employers for Young People 
  

•    Great Place To Work Certified 
o    Best Workplaces for Inclusion 
o    Best Workplaces for Mental Wellness 
o    Best Workplaces for Today's Youth 
o    Best Workplaces for Women 
o    Best Workplaces in Financial Services & Insurance 
o    Best Workplaces in Ontario 
o    Best Workplaces with Most Trusted Executive Teams 

•    LinkedIn Top Companies in Canada
  

•    Human Resource Director (HRD) - Best Place To Work 
o    HRD - 5-Star Benefit Program 
o    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