Regulatory Compliance Manager

3 weeks ago

Toronto, Canada Fidelity Investments Full time

Description

Regulatory Compliance Manager FCC

This is a hybrid role with a mix of remote and in-office working

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

The Regulatory Compliance Manager reports to the Director, Compliance and is primarily responsible for the daily operations, including but not limited to Complex account review, AML, privacy and inquiry responses. Key areas of accountability including Complex account review and inquiry responses. In addition, position will involve direct responsibility for regulatory reporting and acting as a backup to other members of FCC Compliance team. You will provide subject matter expertise for system development, assist with staff training, generate reporting metrics for periodic reporting to the Board of Directors. You will also provide backup for other Risk and Compliance functions and will be a member of a team of compliance professionals dedicated to meeting the requirements of an ever-evolving regulatory landscape.

How You’ll Make an Impact

Complex Account/multi-layered account structure review & Documentation review

Conduct review of complex account/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, Compliance and/or Chief Compliance Officer. 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, Compliance and/or Chief Compliance Officer. Assist with regulatory reporting of high-risk items to either FINTRAC or IIROC. 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 Bring:

Strong analytical skills. Deep understanding of complex account types and working knowledge of QI/FATCA/CRS, Canada’s AML regulations applicable to a Broker Dealer and other IIROC 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.

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