Corporate Compliance Manager

Fidelity Canada

. Provide daily Tier 1 supervision of Wealth Advisors located across Canada .

Posted 9/18/2026full-timeToronto • CanadaMid-LevelSenior💰 CA$99,000 - CA$123,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates extensive knowledge of compliance functions within the securities industry, including CIRO and FINTRAC regulations. Capable of developing and delivering training programs for Wealth Advisors while fostering a culture of compliance and ethical behavior.

Highest-signal resume keywords

CIRO Compliance KnowledgeTraining Program DevelopmentSecurities Industry RegulationsMicrosoft Office ProficiencyStrong Communication Skills

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance MonitoringPolicy DevelopmentRegulatory Review SupportAccount Approval ProcessesFinancial Planning Training

Soft Skills

Interpersonal SkillsMediation SkillsInfluencing SkillsPrioritization SkillsCollaborative Skills

Certifications & Qualifications

Canadian Securities Course (CSC)Conduct and Practices Handbook CourseBranch Manager CourseInvestment Dealer Supervisors CoursePartners, Directors and Senior Officers Course (PDO)

Industry Keywords

Wealth ManagementDealer ComplianceSecurities RegulationsFINTRACMFDAIIROC

About the role

Key responsibilities & impact

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

Requirements

What you’ll need

Current work authorization for Canada is required
At least 5 years of experience with CIRO (MFDA and/or IIROC) in a Tier 1 position
Strong knowledge of securities industry rules and regulations applicable to dealer activities, including CIRO and FINTRAC
Strong written and oral communication skills
Strong mediation and influencing skills
Strong interest in and understanding of technology
Effective prioritization of tasks and ability to deliver under pressure
Excellent interpersonal and collaborative skills
Proficiency in Microsoft Office applications, including Word, Excel, and PowerPoint
University degree or equivalent work experience
Post-secondary degree in communications, information technology, social or digital media
Must have Canadian Securities Course (CSC), Conduct and Practices Handbook Course, Branch Manager Course or Investment Dealer Supervisors Course, or current equivalent CIRO examinations
Bilingualism is nice to have
Partners, Directors and Senior Officers Course (PDO) is nice to have
Derivatives Fundamentals Course or equivalent CIRO exam is nice to have
Derivatives and Options Licensing Course or equivalent CIRO exam is nice to have
Willingness to travel 15% of the time

Benefits

Comp & perks

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, including 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
RRSP contribution after 6 months of employment, with no employee matching required
Employee assistance and accommodation support during the application process
Company recognition as one of Canada’s Top 100 employers and other workplace awards