Description
Who We Are:
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. As a privately owned company, we boldly embrace innovation in all areas as we continue to grow our business into the future.
Working with us means you’ll be part of a diverse and dedicated group of people who make a real difference for our clients and communities every day. You’ll have a wide range of opportunities to grow and develop your career in an inclusive environment where you’ll feel valued and supported to be your best - both personally and professionally.
Driven by our values of Trust and Integrity in everything we do, our mission is to build a better future for Canadian investors and help them stay ahead. Fidelity Investments Canada is a leader in mutual funds and ETF management. We offer a complete line of products and services to investors through a network of third-party brokers and financial advisors. Our primary goal is to support investment professionals as they endeavor to prepare their clients’ retirement and other significant life goals which demand focused financial management.
What You Will Do:
Reporting to the Manager, Dealer Compliance, the Dealer Compliance Manager is responsible for administering and enhancing the compliance program along with the Vice President, CCO Dealers and Manager, Dealer Compliance. The Dealer Compliance Manager will ensure compliance standards are continuously and accurately monitored, communicated, and updated while ensuring robust policies and procedures exist and are kept up to date on a regular basis.
The Dealer Compliance Manager is also responsible with assisting the Manager, Dealer Compliance and the Vice President, CCO Dealers with management and board reporting, representing the FIC Dealer Compliance department on corporate initiatives and projects involving dealer activities. The Dealer Compliance Manager will work with the Manager, Dealer Compliance and the Vice President, CCO Dealers on regulatory reviews/queries, internal and external audit reviews, and client complaints.
Compliance Oversight
Assist in continued improvement and administration of a compliance oversight program
Stay up to date on NI 31-103 regulatory changes and analyze their impact to Dealer Compliance oversight responsibilities
Maintaining up-to-date knowledge of provincial insurance regulatory framework (FSRA, AMF and other provincial regulators).
Assist with investigations related to complaints and regulatory inquiries
Perform branch audits/examinations under Fidelity Wealth audit program
Identify and escalate any areas of non-compliance
Support the development, implementation and continuous improvement of Dealer Compliance’s related programs, technology, tools and resources designed to enable Wealth distribution channels to meet their regulatory requirements and achieve organizational and operational goals.
Maintain current knowledge and provide ongoing support on Dealer Compliance applications.
Acts as a back-up to the Manager, Dealer Compliance Manager and other members of the FIC Dealer Compliance, as required
Projects
Represent FIC Dealer Compliance and act as a subject matter expert on projects initiated by stakeholders across the organization
Provide advice consistent with applicable regulations and delivered in a timely manner
Review Business Requirements Documents and work with the business analysts, project managers and other stakeholders to resolve issues and discrepancies
Policies and Procedures
Assist the Manager, Dealer Compliance in the creation, updates and administration of the applicable policies and procedures related to dealer compliance oversight program, including the Insurance Supervision.
Stay up to date on regulatory changes and analyze their impact to Fidelity’s business and operations
Complete policy reviews on a periodic basis and assist with the updates and maintenance of compliance manuals respecting insurance regulations.
Training and Communication
Assist with…
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