Compliance Analyst

## **Job Description** - **You will be working on a flexible hybrid schedule as part of Fidelity’s dynamic working arrangement.** - **Current work authorization for Canada is required for all openings.** - **The work location for this role is 483 Bay Street in Toronto until approximately late 2026, when the work location will change to the new Mississauga office at 3 Robert Speck Parkway.** **Business Overview:** Fidelity Clearing Canada (FCC) is the leading independent clearing broker and custodian in the Canadian market. We provide trade execution, clearing, custody and back-office support services to Canadian-based brokerage firms and the Canadian brokerage arms of U.S.- based firms. For more information about Fidelity Clearing Canada, please visit [https://clearing.fidelity.ca/](https://clearing.fidelity.ca/) **Role Overview:** The **Compliance Analyst** reports to the Director, Compliance and is responsible for assisting the Compliance team with various tasks to ensure the firm complies with its regulatory obligations including but not limited to audit and reporting document collection and coordination; day-to-day inquiry and requests as well as on projects. **What You Will Do:** Compliance and risk support - Manage and support review on return mail and abandoned properties tasks - Maintain tracker for ongoing business projects and provide administrative support to business - May be involved with projects to enhance existing processes and system testing. - Assist with review and resolve general inquiries and daily operational requests in the Compliance mailbox and system platforms. - Assist with request escalations to ensure requests are resolved accordingly. - Assist with update and review existing policies and procedures annually or as required. - Support with policy gap analysis - Assist with advising, training, and development of awareness on compliance related issues among FCC staff which may involve both staff training and support. - Assist with preparation of compliance reports, metrics, management information, and regulatory submissions for senior management and governance committees. - Provide support to Trade Compliance team on tasks such as order marker review and testing, tracing notices, various regulatory reporting. Incident escalation and management - Ensure all incidents are escalated appropriately to the Director, Compliance and/or Chief Compliance Officer. - Record keeping and retention of all back up materials. Audit & Reporting - Collaborate with Director Compliance and/or Compliance Managers (where applicable) to coordinate, collect and submit to fulfill audit requests. - Support the development of corrective action plans as a result of the audit where necessary. - Support the team by gathering relevant data for investigations, risk assessments, reports and regulatory inquiries. - Manage and complete FINRA inquiries via CIRO (ISG) Expertise You Will Bring: - Working knowledge of industry related topics, such as QI/FATCA/CRS, AML regulations, fundamental trading and compliance knowledge and other CIRO and CSA regulations - Sound working knowledge of Microsoft Excel and Outlook and proficient in Dataphile - Ability to interact and communicate (verbal and written) effectively with various departments and external parties - Ability to handle situations of various urgency and prioritize - Knowledge of the overall workings of operations, and compliance - Strong analytical thinker - Experience with CIRO regulatory reporting systems including, Order Marking Corrections, Short Reporting or Gatekeeper reporting would be an asset What We’re Looking For: - Completion of University degree or equivalent work experience - Minimum 3 or more years’ experience in the investment dealer industry - Experience in a compliance role would be an asset - Strong interpersonal, communication, written and verbal and presentation skills would be an asset - High level of proficiency with Microsoft Office would be an asset - Working knowledge of Salesforce would be an asset - Digital asset related knowledge would be an asset **Some of the ways we’ll help you feel valued and supported as part of our team:** - 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 $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 We care a lot about fostering a compassionate, people-centric culture, and are proud to have been named one of Canada’s Top 100 employers for the last five years. **Total Rewards That Reflect Your Impact** We believe exceptional work deserves exceptional recognition. That’s why we offer a **competitive compensation package** designed to support your success today—and your financial well-being tomorrow. For this role, your total rewards include: - **Base Salary and discretionary Performance Bonus**: Total annual cash compensation (base salary plus target bonus) ranges from **$79,000 to $96,000** based on experience and qualifications - **RRSP Contribution**: After 6 months of employment, we invest in your future with an **RRSP contribution—no employee matching required.** We’re proud to offer a compensation package that aligns with **provincial pay transparency requirements**. This posting represents an **existing vacancy** within our organization—an opportunity to step into a role where your talents will make a meaningful difference. _We use AI-enabled LinkedIn Hiring Assistant to support parts of our sourcing process. Every hiring decision is reviewed and finalized by our recruiters. If you choose to ask questions to the LinkedIn HR Hiring Assistant, please be mindful that the responses are not official and must be confirmed for accuracy and completeness by Fidelity. If you are selected for an interview, the recruiter who contacts you can best answer your questions_. **Fidelity Canada is an equal opportunity employer** Fidelity Canada is committed to fostering a diverse and inclusive workplace. 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. **Accommodation during the application process** 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 [[email protected]](mailto:[email protected]). **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.** **Why Work at Fidelity?** **We are proud to be recipients of the following:** **Awards** **• Canada's Top 100 Employers** o Greater Toronto's Top Employers o Canada's Top Family-Friendly Employers o Canada's Top Employers for Young People **• Great Place To Work® Certified** o Best Workplaces for Inclusion o Best Workplaces for Mental Wellness o Best Workplaces for Today's Youth o Best Workplaces for Women o Best Workplaces in Financial Services & Insurance o Best Workplaces in Ontario o Best Workplaces with Most Trusted Executive Teams **• LinkedIn Top Companies in Canada** **• Human Resource Director (HRD) - Best Place To Work** o HRD - 5-Star Benefit Program o HRD - 5-Star Diversity & Inclusion Employer **Designations** • 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