Fidelity Canada

Communications

• Contribute to planning, development, and execution of content supporting Fidelity Clearing Canada’s marketing and communications strategy
• Partner with internal stakeholders across the business to support corporate, operational, and incident communications
• Collaborate with Corporate Affairs, Production Marketing, and other internal teams
• Work with external vendors to support digital visibility initiatives, including search, AI-enabled discovery, and paid search (SEM)
• Develop campaign tracking, performance reporting, and insights to assess effectiveness and inform optimization
• Lead communications planning and execution for corporate, operational, and incident communications
• Design, build, and maintain marketing and communications content and collateral
• Maintain regular updates for collateral, news, and information made available to clients and the public
• Uphold brand and regulatory standards
• Manage event budgets, estimates, working budgets, and actual spend
• Develop event and meeting content with business partners
• Execute integrated marketing campaign deliverables across owned, earned, and paid channels
• Promote Fidelity Clearing Canada’s products and priorities while ensuring accuracy, alignment, and timely delivery

Marketing & Communications Manager

Account Manager

• Serve as the central point of contact and relationship lead for an assigned group of FCC clients
• Act as a strategic liaison between FCC departments and client partners
• Lead client relationships at the C-suite level
• Act as the Client Champion/Advocate and Voice of the Client
• Use performance metrics and executive reporting to analyze and present operating trends
• Develop and execute account management plans
• Drive client retention and identify cross-selling and additional asset-gathering opportunities
• Provide proactive consultation and practice management solutions
• Collaborate with Sales on services and product sales processes for existing clients
• Execute platform adoption goals and increase adoption of FCC products and services
• Communicate new FCC initiatives, products, and services to clients
• Identify client priorities and align products and services with their business needs
• Identify opportunities to improve efficiency, including adding or decommissioning services, processes, or products
• Analyze data to identify priorities and initiate strategic business conversations
• Develop and maintain in-depth understanding of assigned clients’ businesses through client interaction, industry research, and analysis
• Manage resolution of major service issues and escalations
• Mobilize and align multifunctional FCC teams to support strategic clients
• Ensure clients receive appropriate service levels
• Monitor operational, technology, and compliance issues affecting clients and escalate internally
• Collaborate with FCC departments to understand and address client needs and challenges

Strategic Account Manager

Bilingual

• Investigate and resolve financial and non-financial corrections resulting from internal or external errors
• Resolve client account issues accurately and promptly
• Research, analyze, and adjust account issues and errors
• Resolve issues in accordance with industry, provincial, and federal regulations and corporate policies
• Provide professional customer service to clients
• Apply knowledge of Fidelity products, policies, procedures, and risk mitigation practices
• Communicate with clients, advisors, and other Fidelity partners during error recovery
• Contribute to continuous improvement at the departmental and divisional levels
• Help build a strong, effective team
• Create positive client experiences by taking personal accountability

Bilingual Representative

Representative

• Investigate and resolve financial and non-financial corrections resulting from internal or external errors
• Research, analyze, and adjust client account issues and errors
• Provide professional, accurate, and timely customer service when resolving client issues
• Apply knowledge of Fidelity products, policies, and procedures, including appropriate risk mitigation
• Resolve account-related issues in compliance with industry, provincial, and federal regulations and corporate policies
• Communicate with clients, advisors, and other Fidelity partners during error resolution
• Contribute to continuous improvement at the department and divisional levels
• Help build a strong, effective team
• Enhance the client experience by understanding client priorities and taking personal accountability for positive outcomes

Service Solutions Unit Representative

Legal Assistant

• Provide coordination, legal clerical support, and administrative services to the legal management/procurement team
• Report to the Director of Legal Services
• Act as a contact for administrative needs, requests, and inquiries
• Type and format fund prospectuses and supporting documents, agreements, resolutions, correspondence, forms, minutes, and fund meeting materials
• Provide administrative support to prospectus and other regulatory filings
• Prepare material and provide support for Board meetings
• Process legal bill and external director fee payments
• Liaise with external and internal clients on administrative issues
• Perform general clerical duties, including filing, expense reports, and calendar management
• Assist with projects assigned by the legal department
• Provide administrative support to the procurement team
• Interact with all levels of the organization as well as external directors, clients, and contacts

Legal Assistant – 6-month contract

Compliance

• Operate the Trade Surveillance Program daily
• Investigate alerts relating to manipulative and deceptive practices, insider trading, and trading on material non-public information
• Monitor trader communications and test order flow for possible trade-throughs
• Oversee order marking tests and submit correction requests
• Review order markers and large position reporting
• Track surveillance testing measures and support periodic management reporting
• Identify program and system improvement opportunities
• Gather and analyze trade and market data against UMIR
• Maintain robust pre-trade risk controls across FCC trading platforms
• Track limit breaches, limit changes, and approval records
• Participate in the Trade Review Committee and ensure committee functions are completed
• Analyze and communicate business impacts of CIRO Electronic Trading Rules and recommend protective measures
• Escalate incidents to the Manager, Trade Compliance, Director, Compliance, and/or Chief Compliance Officer
• Assist with FINTRAC or CIRO reporting of high-risk items
• Maintain records and retention of backup materials
• Analyze daily trade activity and perform quarterly analytics on flagged orders
• Advise, train, and develop compliance awareness among FCC employees
• Interpret internal policies and regulatory instruments to resolve client and staff issues
• Co-author and annually update policies and procedures
• Assist with regulatory audits and complete regulatory reporting
• Support pricing-related reviews and risk workflow analysis
• Answer wire reviews and escalations
• Provide backup for employee trading monitoring, firm and staff registrations, NRD maintenance, and regulatory requests

Regulatory Compliance Manager, Trade Surveillance

• 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

Corporate Compliance Manager

• Assist the Compliance team with tasks supporting the firm’s regulatory obligations
• Coordinate audit and reporting document collection
• Manage and support return mail and abandoned properties tasks
• Maintain trackers for ongoing business projects and provide administrative support
• Participate in process enhancement projects and system testing
• Review and resolve general inquiries and daily operational requests in the Compliance mailbox and system platforms
• Assist with request escalations
• Update and review policies and procedures annually or as required
• Support policy gap analysis
• Assist with compliance advising, training, and awareness development for FCC staff
• Prepare compliance reports, metrics, management information, and regulatory submissions
• Support the Trade Compliance team with order marker review and testing, tracing notices, and regulatory reporting
• Escalate incidents appropriately to the Director, Compliance and/or Chief Compliance Officer
• Maintain records and retain backup materials
• Coordinate, collect, and submit materials for audit requests
• Support corrective action plans resulting from audits
• Gather data for investigations, risk assessments, reports, and regulatory inquiries
• Manage and complete FINRA inquiries via CIRO (ISG)

Compliance Analyst

Operations

• Manage Fidelity Investments Canada ULC’s retail and institutional product distribution processes for new mutual funds, ETFs, renewal and amendment filings, and pooled fund offerings
• Manage product launch and renewal processes, including preparation of offering and amendment documents, board materials, material contract amendments, and coordination with Legal, internal business units, and external providers
• Support lawyers, law clerks and legal translators
• Act as primary liaison between FIC Legal and Retail and Institutional Product teams
• Draft offering documents for private and public investment funds and accounts under lawyer supervision
• Create filing timetables and work-back schedules and ensure timely business-unit inputs
• Review and validate product brief information
• Manage fund facts document changes using an automated system
• Oversee ETF listing applications, ticker reservations and ticker expiry-date maintenance
• Oversee CUSIP processes
• Manage external tax and auditor reviews
• Manage comment-letter processes and coordinate stakeholder responses
• Prepare or assist with board materials, contract updates, designated broker agreements and dealer agreements
• Maintain current offering-document materials between renewal filings
• Run weekly filing update meetings, take minutes, resolve action items and oversee the MS Teams microsite
• Support marketing-material reviews and MRFP reviews
• Manage the corporate-actions rota and liaise with the corporate-actions team
• Arrange execution of fund investment documents through Fund Treasury
• Manage Institutional compliance certificate reviews
• Maintain material and non-material contract filing systems