Job Description

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.

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.

Driven by our values of Trust and Integrity in everything we do our mission is to build a better future for Canadian investors and help them stay ahead. Fidelity Investments Canada is a leader in mutual funds and ETF management. We offer a complete line of products and services to investors through a network of third-party brokers and financial advisors. Our primary goal is to support investment professionals as they endeavor to prepare their clients retirement and other significant life goals which demand focused financial management.

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.

• Compliance Oversight

  • Assist in continued improvement and administration of a compliance oversight program

  • Stay up to date on NI 31-103 regulatory changes and analyze their impact to Dealer Compliance oversight responsibilities

  • Maintaining up-to-date knowledge of provincial insurance regulatory framework (FSRA AMF and other provincial regulators).

  • Assist with investigations related to complaints and regulatory inquiries

  • Perform branch audits/examinations under Fidelity Wealth audit program

  • Identify and escalate any areas of non-compliance

  • Support the development implementation and continuous improvement of Dealer Compliances related programs technology tools and resources designed to enable Wealth distribution channels to meet their regulatory requirements and achieve organizational and operational goals.

  • Maintain current knowledge and provide ongoing support on Dealer Compliance applications.

  • Acts as a back-up to the Manager Dealer Compliance Manager and other members of the FIC Dealer Compliance as required

• Projects

  • Represent FIC Dealer Compliance and act as a 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

• Policies and Procedures

  • Assist the Manager Dealer Compliance in the creation updates and administration of the applicable policies and procedures related to dealer compliance oversight program including the Insurance Supervision.

  • Stay up to date on regulatory changes and analyze their impact to Fidelitys business and operations

  • Complete policy reviews on a periodic basis and assist with the updates and maintenance of compliance manuals respecting insurance regulations.

• Training and Communication

  • Assist with the creation updates and implementation of training programs and communications to keep stakeholders at all levels informed of developments and changes that may affect their daily work

  • Deliver training as agreed with the business in formal training sessions

What We Are Looking For:

• Minimum 5 years of dealer and/or discretionary portfolio manager experience most recently in a compliance or a related role with a strong preference given to candidates with a demonstrated experience in an insurance distribution activity or insurance compliance.

• Experience in a compliance function at a CIRO (formerly MFDA or IIROC) dealer

• University degree (or equivalent experience)

• Successful completion of related insurance professional development or working towards (e.g. LLQP LOMA)

• Knowledge of products and services in the insurance distribution space

Assets:

• Canadian Securities Course or Canadian Investment Funds Course

• Insurance-related certifications (e.g. LLQP LOMA)

• 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 Office applications Word Excel and PowerPoint

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 $5000 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: A competitive annual range of $117000 to $135000 based on your 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.

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