Compliance Manager FCC

Fidelity Canada; Toronto; Hybrid; CAD 80,000 - 120,000; Full time

Job summary

An established industry player is seeking a Compliance Manager FCC to oversee complex account processes and ensure regulatory compliance. This role is pivotal in maintaining operational excellence and involves collaboration with various teams to enhance compliance and risk management. The position offers a flexible hybrid work schedule, fostering a diverse and inclusive workplace that values professional growth. If you have a strong background in compliance and a passion for operational excellence, this is an exciting opportunity to make a significant impact.

Benefits

Professional Growth Opportunities

Competitive Benefits

Inclusive Workplace

Recognition as a Top Employer

Qualifications

• 5+ years in broker/dealer relations and compliance.
• Experience with regulatory frameworks like QI, FATCA, CRS.

Responsibilities

• Manage complex account openings and ensure compliance.
• Collaborate with teams to streamline processes.
• Support compliance activities and regulatory reporting.

Skills

Compliance Management

Regulatory Frameworks (QI, FATCA, CRS)

Collaboration Skills

Communication Skills

Organizational Skills

Microsoft Office Proficiency

French Language Skills

Education

University Degree

Tools

Microsoft Office

Job description

Join to apply for the Compliance Manager FCC role at Fidelity Canada

We are seeking a Compliance Manager FCC to join our team at Fidelity Canada. This role involves managing complex account opening processes, ensuring compliance with regulatory requirements, and supporting daily operations related to compliance and risk management.

The position offers a flexible hybrid work schedule and requires current work authorization for Canada. Reporting to the Director, Compliance, the successful candidate will collaborate with various teams and play a key role in maintaining our high standards of compliance and operational excellence.

Responsibilities include:

• Reviewing and guiding complex account openings, ensuring proper documentation and due diligence.
• Collaborating with cross-functional teams to streamline processes and ensure regulatory compliance.
• Providing training and guidance on complex account procedures and regulatory requirements.
• Supporting compliance and risk management activities, including incident escalation and regulatory reporting.
• Participating in testing and monitoring related to compliance reporting and controls.

Qualifications:

• University degree or equivalent experience.
• 5+ years in broker/dealer relations, compliance, or operations, with a focus on complex accounts and regulatory frameworks like QI, FATCA, CRS.
• Strong collaboration, communication, and organizational skills.
• Proficiency in Microsoft Office applications; French language skills are an asset.

We offer:

A diverse, inclusive workplace with opportunities for professional growth, competitive benefits, and recognition as a top employer in Canada.

Fidelity Canada is committed to equal opportunity employment and accommodations for applicants with disabilities. Please contact us at [e-mail] for assistance during the application process.