Compliance Manager FCC

* Review and provide guidance and reconciliation to FCC clients to ensure all required documentation and due diligence are completed prior to account opening.
* Complete end to end processing to open complex accounts.
* Collaborate with cross functional teams to ensure process and knowledge alignment and complex account requests are completed efficiently and in compliance with regulatory requirements.
* Provide assistance with various client account documentation.
* Provide guidance/answer inquiries relating to QI/FATCA/CRS.
* Collaborate with Complex Compliance Manager to create and update procedures relating to complex account opening.
* Provide training to team members assisting with complex account opening review.
* Collaborate with Complex Compliance Manager to develop and maintain training material on complex accounts and provide training to internal teams and clients on best practices and regulatory requirements relating to complex accounts.
* Ensure all incidents are escalated appropriately to the Complex Compliance Manager,  Director, Compliance and/or Chief Compliance Officer.
* Assist with regulatory reporting of high-risk items to either FINTRAC or CIRO.
* Record keeping and retention of all back up materials.
* University Degree in a related field or equivalent experience
* 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
* Ability to collaborate effectively with cross-functional teams, including operations, compliance, legal, audit and risk
* Good inter-personal skills, especially the ability to work well with partners and senior management to resolve sensitive issues
* Excellent written and verbal communication skills as well as 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 in managing cross-functional projects, related to process improvement, compliance technology implementations
* French language skills is nice to have
* 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.
* Strong interpersonal skills, especially the ability to work well with clients, key partners, and senior management to resolve sensitive issues.

- ** Base Salary and Discretionary Performance Bonus**: A competitive annual range of **$115,000 to $150,000**, based on your experience and qualifications.
* 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, that include up to $5000 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

Fidelity Canada has become an employer of choice for talented people seeking rewarding career opportunities in the financial services industry. We look to hire outstanding individuals who want to maximize their potential and be challenged in all aspects of their professional careers.

To help our employees excel in their roles at Fidelity, we provide everyone here with the best training, resources and support possible throughout their careers. With our help, there’s no limit to what you can accomplish here.

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