Job Description

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.

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.

• Regulatory Filings
  • 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.
  • Support the Manager, Operations and Corporate Compliance in the preparation of regulatory filings and reporting

• Projects
  • Represent FIC 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

• Policies and Procedures
  • Create and/or update of policies and procedures related to Fidelity Wealth and other Fidelity Canada businesses supported by Dealer Compliance
  • Assist the Manager, Dealer compliance in the creation, updates and administration of applicable policies and procedures related to dealer compliance oversight program
  • Stay up to date on regulatory changes and analyze their impact to Fidelity’s business and operations
  • Create necessary decks and summaries for approvals by various committees and the board of directors

• Compliance Oversight
  • Assist in creation and development of a compliance oversight program and in continued improvement initiatives
  • Stay up to date on NI 31-103 regulatory changes and analyze their impact to Dealer Compliance oversight responsibilities
  • Perform branch audits, examinations under Fidelity Wealth audit program and investigations to complaints and regulatory inquiries.
  • Demonstrated Tier 1 surveillance and act as Tier 1 supervision back-up, and as back-up to Manager, Dealer Compliance and other members on the FIC Dealer Compliance team, as required.

• Training and Communication
  • 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, update, and implement training programs and communications to keep stakeholders at all levels informed of developments and changes that may affect their daily work

What We Are Looking For:

• Minimum 6 years of dealer and/or discretionary portfolio manager experience, most recently in a compliance or related role
• Relevant compliance experience at a CIRO dealer (formerly MFDA or IIROC)
• Current registration as a Supervisor with CIRO or have the required proficiencies to be able to be registered within an agreed upon time frame
• University degree or relevant work experience

Assets:

• Canadian Securities Course or Canadian Investment Funds Course
• CPH
• Options/Derivatives
• 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 Word, Excel, and PowerPoint.

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

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 FidelityCanadaStaffing@fidelity.ca.

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 

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 FidelityCanadaStaffing@fidelity.ca.

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