Senior Regulatory Analyst leading complex registrant compliance reviews for Alberta’s securities regulator. Advising firms, mentoring analysts, and supporting Canadian regulatory initiatives.
About the role
- Corporate Compliance Branch Manager supervising Wealth Advisor compliance for Fidelity Canada’s investment services. Managing regulatory oversight, policies, training, audits, and dealer compliance initiatives.
Responsibilities
- Provide daily Tier 1 supervision of Wealth Advisors located across Canada
- Work closely with Dealer Compliance staff to manage Fidelity Wealth’s overall compliance functions
- Monitor, communicate, and update compliance standards, policies, and procedures
- Ensure robust policies and procedures are maintained and regularly updated
- Manage the training program for new Fidelity Wealth advisors and Investly staff
- Develop the Financial Planning training program for registered financial planners
- Assist the Director and CCO with corporate initiatives and projects involving dealer activities
- Support regulatory reviews and queries, internal and external audit reviews, and client complaints
- Approve new accounts and material changes to existing accounts
- Conduct Tier 1 daily and monthly reviews of Wealth Advisors’ trading activity
- Implement corrective actions, ensure internal controls function effectively, and facilitate escalations
- Serve as the key day-to-day compliance contact for Wealth Advisors
- Follow up with Wealth Advisors and support staff on missing documentation
- Provide ongoing compliance education and training
- Conduct onsite branch visits as required
- Act as backup to FIC Dealer Compliance members
- Assist with complaint and regulatory inquiry investigations
- Foster a culture of compliance through ethical behavior, accountability, and regulatory adherence
- Participate in Dealer Compliance projects and initiatives
- Support development and continuous improvement of compliance programs, technology, tools, and resources
- Communicate policy and procedure changes to Wealth Advisors and dealer staff
- Participate in developing, maintaining, and implementing policy and procedure changes
- Create, update, and implement Wealth Advisor training programs
- Identify targeted training needs and recommend process improvements
- Deliver formal training to Fidelity Wealth Advisors and other registered employees
Requirements
- Current work authorization for Canada is required
- At least 5 years of experience with CIRO (MFDA and/or IIROC) in a Tier 1 position
- Strong knowledge of securities industry rules and regulations applicable to dealer activities, including CIRO and FINTRAC
- Strong written and oral communication skills
- Strong mediation and influencing skills
- Strong interest in and understanding of technology
- Effective prioritization of tasks and ability to deliver under pressure
- Excellent interpersonal and collaborative skills
- Proficiency in Microsoft Office applications, including Word, Excel, and PowerPoint
- University degree or equivalent work experience
- Post-secondary degree in communications, information technology, social or digital media
- Must have Canadian Securities Course (CSC), Conduct and Practices Handbook Course, Branch Manager Course or Investment Dealer Supervisors Course, or current equivalent CIRO examinations
- Bilingualism is nice to have
- Partners, Directors and Senior Officers Course (PDO) is nice to have
- Derivatives Fundamentals Course or equivalent CIRO exam is nice to have
- Derivatives and Options Licensing Course or equivalent CIRO exam is nice to have
- Willingness to travel 15% of the time
Benefits
- Flexible working arrangements - 100% remote, hybrid, and in office options
- 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 a period of 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
- Employee assistance and accommodation support during the application process
- Company recognition as one of Canada’s Top 100 employers and other workplace awards
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