This is a hybrid role with a mix of remote and in-office working
Current work authorization for Canada is required for all openings.

Who We Are

At Fidelity, we\xe2\x80\x99ve 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\xe2\x80\x99re 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\xe2\x80\x99ll be part of a diverse and dedicated group of people who make a real difference for our clients and communities every day. You\xe2\x80\x99ll have a wide range of opportunities to grow and develop your career in an inclusive environment where you\xe2\x80\x99ll 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
https://clearing.fidelity.ca/

What We Do

The Compliance Manager will assist the Director, Compliance and the Chief Compliance Officer (CCO) in ensuring that FCC meets all its regulatory requirements in trading, clearing, and custody business. The Compliance Manager is primarily responsible for the daily operations, including but not limited to AML program, privacy and inquiry responses. Role will entail representing FCC Compliance on internal project committees on AML and privacy related projects. In addition, position will involve direct responsibility for regulatory reporting and acting as a backup to other members of the FCC Compliance team. Position also involves direct responsibility for compliance related testing as well as acting as backup for testing performed by other members of the FCC Compliance team. Incumbent will be required to lead regular reviews and updates of policies & procedures, will co-lead management and implementation of new compliance initiatives. Position also involves direct participation, in some cases acting as lead for internal/external regulatory audits. The position reports to Director, Compliance.

How You\xe2\x80\x99ll Make an Impact

Anti-Money Laundering

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  Ensuring all incidents are escalated appropriately to the Director, Compliance and/or Chief Compliance Officer.
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  Assist with regulatory reporting and monitoring of high-risk items
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  Developing and updating policy and procedures
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  Managing the transaction and sanction monitoring programs

Privacy

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  Analyze, interpret and communicate privacy rules
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  Update and develop Privacy Policies
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  Manage Privacy investigations - In conjunction with the Director, will manage privacy investigations of varying magnitudes to ensure FCC follows appropriate regulatory and internal policy/guidelines and provide recommendations

Regulatory review and reporting.

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  Review and assessment of new IIROC rules, CSA regulations as well as AML and privacy laws.

Compliance and risk support

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  Advise, train, and develop awareness of compliance related issues among FCC staff which may involve both staff training and support.
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  Interpret both internal policies and regulatory instruments to resolve both client and staff related issues.
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  Assist with regulatory audit requests
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  Complete regulatory reporting such as short position reporting, Large Open Position Reporting and Fixed income reporting.
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  Update and review existing policies and procedures annually or as required.
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  Act as a backup for response to regulatory requests.
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  Assist as required in processing and analysis of risk daily workflow.
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  Assist in answering wire reviews and escalations
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  Manage staff registrations and NRD maintenance
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  Act as a backup for monitoring of employee trading.

Incident escalation and management

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  Ensure all incidents are escalated appropriately to the Director, Compliance and/or Chief Compliance Officer.
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  Assist with regulatory reporting of high-risk items to either FINTRAC or IIROC.
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  Record keeping and retention of all back up materials.
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  Analyze daily trade activity to resolve flags which are appropriately tracked.
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  Perform quarterly analytics on flagged orders to identify patterns of abusive trading activity.
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  Assist with compliance inquiries and work with applicable teams to provide guidance and/or resolution to clients.

CRM II related monitoring and testing

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  Assist with the development and execution of testing measures for Performance Reporting. Fee Disclosure Reporting, Last vs Bid and Ask pricing discrepancies and statement disclosure.
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  Participate in CRM II yearly reporting as Compliance contact for the project

What We\xe2\x80\x99re Looking For

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  University Degree in a related field or equivalent experience
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  5+ years of experience in broker/dealer relations, compliance, and/or operations
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  Must have a strong understanding of rules and regulations (securities, AML, privacy) that apply to a clearing broker
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  Must have an understanding of internal controls and their development and testing
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  3+ years of experience in privacy investigation
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  3+ years of experience in anti-money laundering compliance with a broker dealer
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  Other industry courses offered by the Canadian Securities Institute and AML related certifications is an asset

What You Will Bring

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  Ability to work well to deadlines.
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  Strong organization skills and ability to manage different tasks at one time.
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  Good inter-personal skills, especially the ability to work well with partners and senior management to resolve sensitive issues.
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  Excellent technical writing skills.
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  Proven management and leadership behaviors.
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  Strong relationship management skills.

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\xe2\x80\x99 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 Family-Friendly Employers 2023 (7th consecutive year)
• Canada\'s Top 100 Employers 2023 (7th consecutive year)
• Greater Toronto\'s Top Employers 2023 (10th consecutive year)
• Canada\'s Top Employers for Young People 2023
• Venngo Healthy Workplaces Award Workplace Benefits Awards \xe2\x80\x93 Health and Wellness Program
• HRDC Best Places to Work 2022

Designations

• A Canadian Compassionate Company
• Great Place to Work (Dec 2022 - Nov 2023)
• Best Workplaces for Women 2023 by Great Place to Work