Sun Life compliance director overseeing CIRO trade supervision and risk - based monitoring across mutual fund and securities businesses. Leading regulatory oversight, transformation, reporting, and a high - performing compliance team.
About the role
- Compliance Analyst supporting regulatory obligations for Fidelity Clearing Canada, a Canadian clearing broker and custodian. Coordinating audits, reporting, risk support, and compliance operations.
Responsibilities
- Assist the Compliance team with tasks supporting the firm’s regulatory obligations
- Coordinate audit and reporting document collection
- Manage and support return mail and abandoned properties tasks
- Maintain trackers for ongoing business projects and provide administrative support
- Participate in process enhancement projects and system testing
- Review and resolve general inquiries and daily operational requests in the Compliance mailbox and system platforms
- Assist with request escalations
- Update and review policies and procedures annually or as required
- Support policy gap analysis
- Assist with compliance advising, training, and awareness development for FCC staff
- Prepare compliance reports, metrics, management information, and regulatory submissions
- Support the Trade Compliance team with order marker review and testing, tracing notices, and regulatory reporting
- Escalate incidents appropriately to the Director, Compliance and/or Chief Compliance Officer
- Maintain records and retain backup materials
- Coordinate, collect, and submit materials for audit requests
- Support corrective action plans resulting from audits
- Gather data for investigations, risk assessments, reports, and regulatory inquiries
- Manage and complete FINRA inquiries via CIRO (ISG)
Requirements
- Current work authorization for Canada is required
- Completion of University degree or equivalent work experience
- Minimum 3 or more years’ experience in the investment dealer industry
- Working knowledge of QI/FATCA/CRS, AML regulations, fundamental trading and compliance knowledge, and other CIRO and CSA regulations
- Sound working knowledge of Microsoft Excel and Outlook
- Proficient in Dataphile
- Ability to interact and communicate effectively with various departments and external parties
- Ability to handle situations of various urgency and prioritize
- Knowledge of the overall workings of operations and compliance
- Strong analytical thinking
- Experience with CIRO regulatory reporting systems including Order Marking Corrections, Short Reporting, or Gatekeeper reporting would be an asset
- Experience in a compliance role would be an asset
- Strong interpersonal, communication, written, verbal, and presentation skills would be an asset
- High level of proficiency with Microsoft Office would be an asset
- Working knowledge of Salesforce would be an asset
- Digital asset-related knowledge would be an asset
Benefits
- 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, including up to $6000 annually for mental health services and therapy
- Parental leave top-up to 100% of your salary for 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
- RRSP contribution after 6 months of employment, with no employee matching required
- Flexible working arrangements - 100% remote, hybrid, and in office options
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