Sales Compliance Analyst Sr

Sales Compliance Analyst Sr

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.

The Opportunity

Reporting to the Manager, Sales Compliance, the Sales Compliance Analyst Sr is responsible for monitoring and oversight of Fidelity's Business Entertainment and Workplace Gifts Policy ("BEWG") and Sales Practices Policy and Procedures. The role entails the review and approval of co-operative marketing requests, completion of daily monitoring and reporting, and advisory services to the advisor and institutional sales teams on a day-to-day basis.

What You Will Do

• Advisory Services - Provide ongoing compliance support to the organization on BEWG and Sales Practices policy and procedures. Provide compliance oversight and support for all NI 81-105 5.2 event related activities, including dealer consent, invitation and registration management, coordination of approvals, and organized group events for emerging business lines.
• Monitoring - Conduct and document compliance monitoring results in respect of BEWG and Sales Practices Programs.
• Projects - Act as subject matter expert (SME) and provide compliance support on compliance and cross-divisional projects.
• Maintain and enhance training programs on FIC's BEWG and Sales Practices policy and procedures.
• Reporting - Prepare accurate and timely materials for the Manager, Sales Compliance and various internal committees on a recurring basis.

The Expertise You Bring

• Knowledge of National Instrument 81-105, Fidelity's sales practices policy and procedures
• Excellent analytical, writing, oral communication, research, investigatory, presentation, and interpersonal skills
• Proficient in MS Suite - Word, Excel, PowerPoint
• Ability to take initiative, work independently and handle multiple tasks
• Excellent time management skills with the ability to work under tight deadlines
• Commitment to excellence

What We're Looking For

• 3+ years of relevant work experience required, with more than 2 years of mutual fund manager or dealer experience, most recently in a Sales Compliance or related role.
• College Degree or equivalent work experience required.
• Canadian Securities Course/Canadian Investment Funds Courses are preferred.
• Bilingualism in French and English is an asset.

Fidelity Canada is an equal opportunity employer. We will consider all qualified applicants for employment regardless of race, color, religion, sex, sexual orientation, gender identity or expression, national or ethnic origin, age, disability, family status, protected veterans' status, Aboriginal/Native American status or any other legally-protected ground. Fidelity Canada welcomes and encourages applications from people with disabilities. Accommodations are available on request for candidates taking part in the selection process. If you require an accommodation, please email us at FidelityCanadaStaffing@fidelity.ca.

No telephone inquiries or agencies please. We thank all applicants for their interest, please be advised that only those selected for an interview will be contacted.

We are proud to be recipients of the following:

• Awards: Canada's Top 100 Employers, Greater Toronto's Top Employers, Canada's Top Family-Friendly Employers, Canada's Top Employers for Young People, Great Place To Work® Certified, Best Workplaces for Inclusion, Best Workplaces for Mental Wellness, Best Workplaces for Today's Youth, Best Workplaces for Women, Best Workplaces in Financial Services & Insurance, Best Workplaces in Ontario, Best Workplaces with Most Trusted Executive Teams
• LinkedIn Top Companies in Canada
• Human Resource Director (HRD) - Best Place To Work, HRD - 5-Star Benefit Program, HRD - 5-Star Diversity & Inclusion Employer
• Canadian Compassionate Companies – Certified
• Benefits Canada's Workplace Benefits Award - Future of Work Strategy
• TalentEgg National Recruitment Excellence Award - Special Award for Diversity & Inclusion in Recruiting
• Canadian HR Reporter's Most Innovative HR Team