Regulatory Compliance Manager
Regulatory Compliance Manager
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Job Description
Job Description
This is a hybrid role with a mix of remote and inoffice working
Current work authorization for Canada is required for all openings.
*Please note this contract ends in February 2027
Who We Are
At Fidelity weve 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 were 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 youll be part of a diverse and dedicated group of people who make a real difference for our clients and communities every day. Youll have a wide range of opportunities to grow and develop your career in an inclusive environment where youll 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 clearing custody and backoffice support services to Canadianbased brokerage firms and the Canadian brokerage arms of firms.
For more information about Fidelity Clearing Canada please visit We Do
The Regulatory Compliance Manager reports to the Director Compliance and is primarily responsible for the daily management of Compliance inbox to answer general inquiries including but not limited to QI/ FATCA/CRS OTC security review responding to regulatory requests and privacy. Key areas of accountability including responding to general inquiries in the Compliance mailbox review various operational requests (such as fund movement pricing requests etc.. In addition position may be involved with 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 everevolving regulatory landscape.
What You Will Do
Compliance and risk support
Review and resolve general inquiries and daily operational requests in the Compliance mailbox and system platform
Assist with request escalations to ensure requests are resolved accordingly
Assist as required in processing and analysis of risk daily workflow.
Assist with answering and/or guidance with general compliance inquiry
Assist and/or act as a backup for response to regulatory requests.
Assist with regulatory audit requests
Assist with advising training and development of awareness on 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.
Assist with update and review existing policies and procedures annually or as required.
Assist with regulatory report testing
Collaborate with team members and internal clients to improve/streamline processes
Incident escalation and management
Ensure all incidents are escalated appropriately to the Director Compliance and/or Chief Compliance Officer.
Assist with regulatory reporting of highrisk items to either FINTRAC or IIROC.
Record keeping and retention of all back up materials.
CRM II related monitoring and testing
Assist with the development and of testing measures for Performance Reporting. Fee Disclosure Reporting Last vs Bid and Ask pricing discrepancies and statement disclosure.
Participate in CRM II yearly reporting as Compliance contact for the project
Trade surveillance
Assist with daily operation of the Trade Surveillance Program.
Assist with regulatory reporting such as short position reporting Large Open Position Reporting and Fixed income reporting.
Expertise You Will Bring:
Strong analytical skills.
Deep understanding and working knowledge of industry related topics such as QI/FATCA/CRS regulations fundamental trading knowledge compliance and supervision knowledge and other the New SRO and CSA regulations
Strong communication written verbal and presentation skills.
High level of proficiency with Microsoft Excel. Good working ability with MS Word and PowerPoint.
Strong interpersonal skills; proficient at providing and accepting feedback.
What Were Looking For:
5 or more years experience in the investment dealer industry including experience in compliance roles
Completion of University degree
Comprehensive knowledge of security industry rules include but not limited to securities mutual funds privacy etc.
Obtained or working towards CSC and/or working towards Certificate in Investment Dealer Compliance
Experience in managing mailbox with various types of requests in a fastpaced environment.
Strong interpersonal communication written verbal and presentation skills; proficient at providing and accepting feedback.
High level of proficiency with Microsoft Office
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 legallyprotected 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 FamilyFriendly 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 5Star Benefit Program
o HRD 5Star 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
Required Experience:
Manager
Employment Type
Full-Time
