Data Protection Specialist leading privacy assessments, controls, and compliance for Fidelity Canada’s investment services. Advising business and technology teams while mitigating data protection risks.
About the role
- Compliance Manager overseeing complex account opening, KYC and AML compliance for Fidelity Clearing Canada. Supporting regulatory monitoring, training, reporting and risk workflows.
Responsibilities
- Manage end-to-end account opening processes for complex accounts, including trusts, foreign entities and other non-common account structures
- Ensure complex accounts are opened efficiently with appropriate documentation and full compliance with AML, QI/FATCA/CRS and other regulatory requirements
- Review documentation and due diligence and provide guidance and reconciliation to FCC clients
- Complete end-to-end processing to open complex accounts
- Collaborate with operations, compliance, legal, audit, risk and other cross-functional teams
- Provide assistance with client account documentation and answer QI/FATCA/CRS inquiries
- Create and update complex-account-opening procedures with the Complex Compliance Manager
- Train team members, internal teams and clients on complex-account best practices and regulatory requirements
- Assist with CRM II testing and yearly reporting as the Compliance contact
- Advise, train and develop compliance awareness among FCC employees
- Interpret internal policies and regulatory instruments to resolve complex issues
- Assist with monthly pricing reviews, policy and procedure updates, regulatory requests, risk workflows and compliance inquiries
- Escalate incidents appropriately and assist with regulatory reporting of high-risk items to FINTRAC or CIRO
- Maintain records and retain supporting materials
- Report to the Director, Compliance
Requirements
- Current work authorization for Canada is required
- University Degree in a related field or equivalent experience required
- 5+ years of experience in broker/dealer relations, compliance, and/or operations, with a strong focus on complex account opening, KYC, AML or regulatory compliance required
- Ability to collaborate effectively with cross-functional teams, including operations, compliance, legal, audit and risk
- Ability to work well to deadlines; proactive, organized and capable of managing multiple priorities
- Good interpersonal skills, especially the ability to work well with partners and senior management to resolve sensitive issues
- Excellent written and verbal communication skills and presentation skills
- Detail-oriented with strong analytical and problem-solving skills
- High level of proficiency with Microsoft Excel and PowerPoint, and good working ability with other Microsoft applications
- Experience managing cross-functional projects related to process improvement and compliance technology implementations
- An understanding of internal controls and their development and testing is an advantage
- In-depth knowledge of regulatory frameworks related to account opening, AML, KYC, and complex client structures
- Comprehensive knowledge of Canadian financial regulations, including FINTRAC, CIRO, CSA, QI, FATCA, CRS and relevant securities law
- French language skills are nice to have
Benefits
- Flexible, hourly compensation model
- Accommodation during the application process for candidates with disabilities
- Inclusive and diverse workplace
- Opportunities to grow and develop your career
- Support to be your best personally and professionally
- Recognition through employer and workplace awards and designations
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