Sales Compliance Analyst Sr

Fidelity Canada; Toronto; On-site; CAD 80,000 - 100,000; Full time

Job summary

A financial services company in Toronto is seeking a Sales Compliance Analyst Sr to ensure compliance with sales practices. Responsibilities include advisory services, monitoring results, and project support. The ideal candidate has over 3 years of experience in Sales Compliance, excellent analytical and communication skills, and is proficient in Microsoft Office. This full-time role offers a flexible hybrid working schedule.

Qualifications

• 3+ years of relevant work experience required in a Sales Compliance role.
• More than 2 years of mutual-fund manager or dealer experience.
• Bilingualism in French and English is preferred.

Responsibilities

• Provide compliance support on BEWG and Sales Practices policy.
• Conduct and document compliance monitoring results.
• Prepare accurate and timely materials for internal committees.

Skills

Analytical skills

Communication skills

Research skills

Initiative

Time-management skills

Education

College Degree or equivalent work experience

Canadian Securities Course/Canadian Investment Funds Courses

Tools

MS Suite – Word, Excel, PowerPoint

Job description

Job Description Sales Compliance Analyst Sr

Please note:

• Current work authorization for Canada is required for all openings.
• This is a full-time regular role.
• You will be working on a flexible hybrid schedule as part of Fidelity’s dynamic working arrangement.

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.

The Opportunity:

Reporting to the Manager, Sales Compliance, the Sales Compliance Analyst Sr is responsible for monitoring and oversight of Fidelity’s Business Entertainment and Workplace Gifts Policy (“BEWG”) and Sales Practices Policy and Procedures. The role entails the review and approval of co‑operative marketing requests, completion of daily monitoring and reporting, and advisory services to the advisor and institutional sales teams on a day‑to‑day basis.

What You Will Do:

• Advisory Services – Provide ongoing compliance support to the organization on BEWG and Sales Practices policy and procedures, and support all NI 81‑105 5.2 event‑related activities, including dealer consent, invitation and registration management, coordination of approvals, and organized group events for emerging business lines.
• Monitoring – Conduct and document compliance monitoring results in respect of BEWG and Sales Practices Programs.
• Projects – Act as subject‑matter expert (SME) and provide compliance support on compliance and cross‑divisional projects.
• Maintain and enhance training programs on FIC’s BEWG and Sales Practices policy and procedures.
• Reporting – Prepare accurate and timely materials for the Manager, Sales Compliance and various internal committees on a recurring basis.

The Expertise You Bring:

• Knowledge of National Instrument 81‑105 and Fidelity’s sales practices policy and procedures.
• Excellent analytical, writing, oral communication, research, investigatory, presentation, and interpersonal skills.
• Proficient in MS Suite – Word, Excel, PowerPoint.
• Ability to take initiative, work independently and handle multiple tasks.
• Excellent time‑management skills with the ability to work under tight deadlines.
• Commitment to excellence.

What We’re Looking For:

• 3+ years of relevant work experience required, with more than 2 years of mutual‑fund manager or dealer experience, most recently in a Sales Compliance or related role.
• College Degree or equivalent work experience required.
• Canadian Securities Course/Canadian Investment Funds Courses are preferred.
• Bilingualism in French and English is an asset.

Internal Applicants should submit their applications by November 14, 2025.

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 [e-mail].

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.