Compliance Analyst, Fidelity Clearing Canada

• You will be working on a flexible hybrid schedule as part of Fidelitys dynamic working arrangement.

• Current work authorization for Canada is required for all openings.

• The work location for this role is 483 Bay Street in Toronto until approximately late 2026 when the work location will change to the new Mississauga office at 3 Robert Speck Parkway.

Business Overview:

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 Overview:

The Compliance Analyst reports to the Director Compliance and is responsible for assisting the Compliance team with various tasks to ensure the firm complies with its regulatory obligations including but not limited to audit and reporting document collection and coordination; day-to-day inquiry and requests as well as on projects.

What You Will Do:

Compliance and risk support

• Manage and support review on return mail and abandoned properties tasks

• Maintain tracker for ongoing business projects and provide administrative support to business

• May be involved with projects to enhance existing processes and system testing.

• Assist with review and resolve general inquiries and daily operational requests in the Compliance mailbox and system platforms.

• Assist with request escalations to ensure requests are resolved accordingly.

• Assist with update and review existing policies and procedures annually or as required.

• Support with policy gap analysis

• Assist with advising training and development of awareness on compliance related issues among FCC staff which may involve both staff training and support.

• Assist with preparation of compliance reports metrics management information and regulatory submissions for senior management and governance committees.

• Provide support to Trade Compliance team on tasks such as order marker review and testing tracing notices various regulatory reporting.

Incident escalation and management

• Ensure all incidents are escalated appropriately to the Director Compliance and/or Chief Compliance Officer.

• Record keeping and retention of all back up materials.

Audit & Reporting

• Collaborate with Director Compliance and/or Compliance Managers (where applicable) to coordinate collect and submit to fulfill audit requests.

• Support the development of corrective action plans as a result of the audit where necessary.

• Support the team by gathering relevant data for investigations risk assessments reports and regulatory inquiries.

• Manage and complete FINRA inquiries via CIRO (ISG)

Expertise You Will Bring:

• Working knowledge of industry related topics such as QI/FATCA/CRS AML regulations fundamental trading and compliance knowledge and other CIRO and CSA regulations

• Sound working knowledge of Microsoft Excel and Outlook and proficient in Dataphile

• Ability to interact and communicate (verbal and written) effectively with various departments and external parties

• Ability to handle situations of various urgency and prioritize

• Knowledge of the overall workings of operations and compliance

• Strong analytical thinker

• Experience with CIRO regulatory reporting systems including Order Marking Corrections Short Reporting or Gatekeeper reporting would be an asset

What Were Looking For:

• Completion of University degree or equivalent work experience

• Minimum 3 or more years experience in the investment dealer industry

• Experience in a compliance role would be an asset

• Strong interpersonal communication written and verbal and presentation skills would be an asset

• High level of proficiency with Microsoft Office would be an asset

• Working knowledge of Salesforce would be an asset

• Digital asset related knowledge would be an asset

Some of the ways well help you feel valued and supported as part of our team:

• Flexible working arrangements - 100% remote hybrid and in office options

• Competitive total compensation including company contributions to your group RRSP without a matching requirement from you

• Comprehensive health benefits that start on your first day with 100% employer-paid premiums that include up to $6000 annually for mental health services and therapy

• Parental leave top-up to 100% of your salary for a period of 25 weeks

• Up to $650 for home office equipment

• Generous time off policy including 2 paid days annually to volunteer at a charity of your choice

• Diversity and inclusion programs including an active network of Employee Resource Groups

• Extensive professional development opportunities including access to over 11000 training and development courses tuition reimbursement and monetary rewards for completing a required designation

We care a lot about fostering a compassionate people-centric culture and are proud to have been named one of Canadas Top 100 employers for the last five years.

Total Rewards That Reflect Your Impact

We believe exceptional work deserves exceptional recognition. Thats why we offer a competitive compensation package designed to support your success todayand your financial well-being tomorrow.

For this role your total rewards include:

• Base Salary and discretionary Performance Bonus: Total annual cash compensation (base salary plus target bonus) ranges from $79000 to $96000 based on experience and qualifications

• RRSP Contribution: After 6 months of employment we invest in your future with an RRSP contributionno employee matching required.

Were proud to offer a compensation package that aligns with provincial pay transparency requirements.

This posting represents an existing vacancy within our organizationan opportunity to step into a role where your talents will make a meaningful difference.

We use AI-enabled LinkedIn Hiring Assistant to support parts of our sourcing process. Every hiring decision is reviewed and finalized by our recruiters. If you choose to ask questions to the LinkedIn HR Hiring Assistant please be mindful that the responses are not official and must be confirmed for accuracy and completeness by Fidelity. If you are selected for an interview the recruiter who contacts you can best answer your questions.

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

Canadas Top 100 Employers
o Greater Torontos Top Employers
o Canadas Top Family-Friendly Employers
o Canadas 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 Todays 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 Canadas Workplace Benefits Award - Future of Work Strategy
TalentEgg National Recruitment Excellence Award - Special Award for Diversity & Inclusion in Recruiting
Canadian HR Reporters Most Innovative HR Team