Compliance Analyst

Fidelity Canada

. Assist the Compliance team with tasks supporting the firm’s regulatory obligations .

Posted 9/18/2026full-timeToronto • CanadaMid-LevelSenior💰 CA$79,000 - CA$96,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in compliance processes, regulatory reporting, and audit coordination within the investment dealer industry. Proficient in managing compliance inquiries, policy updates, and training initiatives while effectively communicating across departments.

Highest-signal resume keywords

Compliance ReportingRegulatory SubmissionsQI/FATCA/CRS KnowledgeMicrosoft Excel ProficiencyDataphile Experience

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory ReportingAudit CoordinationPolicy Gap AnalysisData Gathering for InvestigationsCompliance AdvisingRisk AssessmentOrder Marking CorrectionsShort ReportingGatekeeper ReportingFundamental Trading Knowledge

Soft Skills

Analytical ThinkingEffective CommunicationInterpersonal SkillsPrioritizationPresentation Skills

Tools & Technologies

Microsoft OfficeMicrosoft ExcelMicrosoft OutlookDataphileSalesforce

Industry Keywords

Investment Dealer IndustryAML RegulationsCIRO RegulationsCSA RegulationsDigital Asset Knowledge

About the role

Key responsibilities & impact

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)

Requirements

What you’ll need

Current work authorization for Canada is required
Completion of University degree or equivalent work experience
Minimum 3 or more years’ experience in the investment dealer industry
Working knowledge of QI/FATCA/CRS, AML regulations, fundamental trading and compliance knowledge, and other CIRO and CSA regulations
Sound working knowledge of Microsoft Excel and Outlook
Proficient in Dataphile
Ability to interact and communicate 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 thinking
Experience with CIRO regulatory reporting systems including Order Marking Corrections, Short Reporting, or Gatekeeper reporting would be an asset
Experience in a compliance role would be an asset
Strong interpersonal, communication, written, 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

Benefits

Comp & perks

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, including up to $6000 annually for mental health services and therapy
Parental leave top-up to 100% of your salary for 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
RRSP contribution after 6 months of employment, with no employee matching required
Flexible working arrangements - 100% remote, hybrid, and in office options