Hybrid Corporate Compliance Lead – Wealth Oversight

Fidelity Canada; Toronto; Hybrid; CAD 99,000 - 123,000; Full time

Benefits offered by this job

Flexible working arrangements

Health benefits

RRSP contributions

Parental leave top-up

Job summary

Fidelity Canada is seeking a Corporate Compliance Branch Manager to oversee Daily Tier 1 supervision of Wealth Advisors across Canada. You will ensure robust policies, train new Fidelity Wealth advisors, and assist with regulatory reviews and audits.

The role emphasizes creating a compliant culture and coordinating with the Director and CCO. The position requires extensive CIRO experience, strong communication, and leadership skills, with flexible working arrangements including remote, hybrid,

Qualifications

• Strong knowledge of securities industry rules and regulations applicable to dealer activities (CIRO, FINTRAC and others).
• Strong written and oral communication skills.
• Mediation and influencing abilities.
• Interest and understanding of technology.
• Ability to prioritize tasks and work under pressure.
• Excellent interpersonal and collaborative skills.
• Proficiency in Microsoft Office applications (Word, Excel, PowerPoint).
• Bilingualism is a nice to have.

Responsibilities

• Provide daily Tier 1 supervision of Wealth Advisors across Canada.
• Manage dealer compliance functions and ensure policies are up to date.
• Develop and deliver compliance training programs for Fidelity Wealth staff.
• Assist Director/CCO on regulatory reviews, audits, and investigations.
• Support continuous improvement of compliance programs and processes.
• Communicate policy changes to Wealth Advisors and staff.
• Conduct onsite branch visits and act as back-up to Dealer Compliance team.
• Promote a culture of compliance and ethical behavior.

Skills

CIRO knowledge

Communication skills

Mediation skills

Technology interest

Prioritization

Interpersonal skills

MS Office (Word, Excel, PowerPoint)

Bilingualism (nice to have)

Education

University degree or equivalent

Post-secondary degree in communications/IT/digital media

Tools

CIRO examinations

Job description

Fidelity Canada is seeking a Corporate Compliance Branch Manager to oversee Daily Tier 1 supervision of Wealth Advisors across Canada. You will ensure robust policies, train new Fidelity Wealth advisors, and assist with regulatory reviews and audits.

The role emphasizes creating a compliant culture and coordinating with the Director and CCO. The position requires extensive CIRO experience, strong communication, and leadership skills, with flexible working arrangements including remote, hybrid,