Corporate Compliance Branch Manager
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Benefits offered by this job
Job summary
Fidelity Canada is seeking a Corporate Compliance Branch Manager to oversee daily Tier 1 supervision of Wealth Advisors nationwide. You will ensure robust compliance controls, lead training initiatives, and support regulatory reviews and audits.
Travel 15% may be required, with a flexible hybrid/remote work arrangement and locations in Toronto and Mississauga. Ideal candidates bring CIRO/IIROC experience, strong communication, and a university degree or equivalent, plus a proactive,
Qualifications
- Five+ years of experience with CIRO (MFDA and/or IIROC) in a Tier 1 role.
- Strong written and oral communication skills.
- Knowledge of securities industry rules and dealer activities.
- University degree or equivalent; relevant CIRO qualifications preferred.
Responsibilities
- Provide daily Tier 1 supervision of Wealth Advisors across Canada.
- Monitor compliance standards and update policies and procedures.
- Develop and deliver training programs for Fidelity Wealth staff.
- Collaborate on regulatory reviews, audits, and inquiries.
- Promote a culture of compliance and ethical conduct across the business.
Skills
Education
Tools
Job description
- 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.
- This role requires travel 15% of the time.
- The work location for this role is 483 Bay Street in Toronto until approximately late 2026, when the work location will change to the new Mississauga office at 3 Robert Speck Parkway.
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.
Reporting to the Director, Dealer Compliance, the Corporate Compliance Branch Manager will focus on providing Daily Tier 1 supervision of Wealth Advisors located across Canada. The successful applicant will work closely with the Dealer Compliance staff to manage Fidelity Wealth's overall compliance functions.
The Corporate Compliance Branch 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 Corporate Compliance Branch Manager is also responsible for the training program for all new Fidelity Wealth advisors, Investly staff and the development of the Financial Planning training program for all registered financial planners.
The Corporate Compliance Branch Manager is also responsible for assisting the Director and CCO with management on corporate initiatives and projects involving dealer activities as may be required. The Corporate Compliance Branch Manager will work with the Director and CCO on regulatory reviews/queries, internal and external audit reviews and client complaints.
- Perform approval of new accounts and material changes to existing accounts
- Perform Tier 1 daily and monthly reviews of Wealth Advisors’ trading activity
- Implementing timely corrective actions and ensuring internal controls are functional, facilitating appropriate escalations, as required
- Key day-to-day contact for Wealth Advisors regarding compliance related matters
- Follow up with Wealth Advisors and support staff on missing documentation
- Support Wealth Advisors with ongoing compliance education and training
- Conduct onsite branch visits at business locations as required
- Act as a back-up to members of FIC Dealer Compliance, as required
- Assist with investigations related to complaints and regulatory inquiries
- Foster a culture of compliance throughout the business and organization by promoting ethical behavior, accountability, and adherence to regulatory standards
- Participate in projects and initiatives in support of Dealer Compliance objectives, Fidelity’s supported business lines and as directed by Manager, Dealer Compliance
- Support the development, implementation and continuous improvement of Dealer Compliance’s related programs, technology, tools and resources designed to enable Wealth distribution channels to meet their regulatory requirements and achieve
- Stay up to date on firm’s policies and procedures and communicate these changes to Wealth Advisors, and other dealer staff, as appropriate
- Participate in developing, maintaining, and implementing changes to the policies and procedures
- Assist with the creation, updates, and implementation of Wealth Advisor training programs, identifying patterns for targeted training, and recommending process improvements
- Deliver training to Fidelity Wealth Advisors and other registered employees in formal training sessions
- Strong knowledge of securities industry rules regulations applicable to dealer activities (CIRO, FINTRAC and all other applicable rules and regulations)
- Strong written and oral communication skills
- Strong mediation and influencing 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
- Bilingualism nice to have
Experience
- At least 5 years of experience with CIRO (MFDA and/or IIROC) in a Tier 1 position
Education
- University degree or equivalent work experience
- Post-secondary degree in communications, informational technology, social or digital media
Licenses/Registrations/Designations
- Must have: Canadian Securities Course (CSC), Conduct and Practices Handbook Course, Branch Manager Course or Investment Dealer Supervisors Course or current equivalent CIRO examinations
- Nice to have: Partners, Directors and Senior Officers Course (PDO)
- Nice to have: Derivatives Fundamentals Course or equivalent CIRO exam
- Nice to have: Derivatives and Options Licensing Course or equivalent CIRO exam
- 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 $6000 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 11,000 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 Canada’s Top 100 employers for the last five years.
We believe exceptional work deserves exceptional recognition. That’s why we offer a competitive compensation package designed to support your success today—and your financial well-being tomorrow.
For this role, your total rewards include:
- Base Salary and discretionary Performance Bonus: Total annual cash compensation (base salary plus target bonus) ranges from $99,000 to $123,000 based on experience and qualifications
- RRSP Contribution: After 6 months of employment, we invest in your future with an RRSP contribution—no employee matching required.
We’re proud to offer a compensation package that aligns with provincial pay transparency requirements.
This posting represents an existing vacancy within our organization—an 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 FidelityCanadaStaffing@fidelity.ca.
Why Work at Fidelity?
We are proud to be recipients of the following:
- Canada's Top 100 Employers
- Greater Toronto's Top Employers
- Canada's Top Family-Friendly Employers
- Canada's Top Employers for Young People
- Best Workplaces for Inclusion
- Best Workplaces for Mental Wellness
- Best Workplaces for Today's Youth
- Best Workplaces for Women
- Best Workplaces in Financial Services & Insurance
- Best Workplaces in Ontario
- Best Workplaces with Most Trusted Executive Teams
- HRD - 5-Star Benefit Program
- HRD - 5-Star Diversity & Inclusion Employer
- 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
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