Regulatory Compliance Manager

Fidelity Canada; Toronto; Hybrid; CAD 70,000 - 110,000; Full time

Job summary

An established industry player is seeking a Regulatory Compliance Manager to lead compliance inquiries and regulatory requests. This hybrid role offers a unique opportunity to work both remotely and in-office. You will manage compliance operations, support regulatory audits, and provide expertise for system development. Ideal candidates will have strong analytical skills, excellent communication abilities, and a solid background in investment compliance. Join a diverse and dedicated team committed to making a difference in the financial sector, where your contributions will be valued and supported.

Qualifications

• 5+ years’ experience in investment industry compliance.
• Knowledge of securities rules is essential.

Responsibilities

• Manage compliance mailbox and system inquiries.
• Assist with regulatory audits and training staff on compliance issues.

Skills

Analytical Skills

Communication Skills

Presentation Skills

Knowledge of QI/FATCA/CRS

Interpersonal Skills

Education

University Degree

Progress towards CSC or Compliance Certification

Tools

Microsoft Office

Excel

Job description

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Join to apply for the Regulatory Compliance Manager role at Fidelity Canada.

Job Description

This is a hybrid role with a mix of remote and in-office working.

Current work authorization for Canada is required for all openings.

Note: This contract ends in February 2027.

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 new and better ways to help our clients. As a privately owned company, we embrace innovation as we grow our business into the future.

Working with us means being part of a diverse and dedicated team that makes a difference for our clients and communities. We offer opportunities to grow and develop your career in an inclusive environment where you’re valued and supported.

Fidelity Clearing Canada (FCC) is a leading independent clearing broker and custodian in Canada, providing trade execution, clearing, custody, and back-office support to Canadian brokerage firms and U.S.-based firms’ Canadian arms.

For more information, visit https://clearing.fidelity.ca/.

What We Do

The Regulatory Compliance Manager reports to the Director, Compliance, and manages daily compliance inquiries, regulatory requests, and privacy issues. Responsibilities include responding to inquiries, reviewing operational requests, regulatory reporting, and supporting staff training. The role involves providing expertise for system development, generating reports for the Board, and supporting other compliance functions.

What You Will Do

Compliance and risk support

• Manage compliance mailbox and system inquiries.
• Escalate and resolve operational requests and risks.
• Assist with regulatory audits and training staff on compliance issues.
• Interpret policies and regulations, update policies, and assist with regulatory testing.

Incident escalation and management

• Ensure proper escalation of incidents.
• Assist with reporting high-risk items to FINTRAC or IIROC.
• Maintain records of backup materials.

CRM II monitoring and testing

• Develop and execute testing for performance and disclosure reporting.
• Participate in yearly CRM II reporting.

Trade surveillance

• Support daily trade surveillance operations.
• Assist with regulatory reporting for positions and fixed income.

Expertise You Will Bring

• Strong analytical skills and industry knowledge (QI/FATCA/CRS, trading, compliance).
• Excellent communication and presentation skills.
• Proficiency in Microsoft Office, especially Excel.
• Interpersonal skills and ability to provide/accept feedback.

What We’re Looking For

• 5+ years’ experience in investment industry compliance.
• University degree and knowledge of securities rules.
• Progress towards CSC or Compliance Certification.
• Experience managing a mailbox and working in fast-paced environments.

Fidelity Canada is an equal opportunity employer and values diversity. Accommodations are available upon request during the application process. Contact us at [e-mail].

We thank all applicants; only those selected for an interview will be contacted.