Sales Compliance Analyst

Fidelity Canada

Toronto, Canada
Base: $68,000 to $85,000; bonus/equity: discretion...
On-site
Sales practices policy
Business entertainment and workplace gifts policy
Compliance monitoring and reporting
The Sales Compliance team provides day-to-day compliance oversight, monitoring, and advisory services related to Sales Practices and Business Entertainment and Workplace Gifts

Job Summary

  • The Sales Compliance team provides day-to-day compliance oversight, monitoring, and advisory services related to Sales Practices and Business Entertainment and Workplace Gifts.
  • The role involves monitoring and oversight of Fidelity’s Business Entertainment and Workplace Gifts Policy and Sales Practices Policy and Procedures, including daily monitoring, reporting, and approval of requests.
  • Fidelity Canada offers a competitive compensation package including a base salary range of $68,000 to $85,000, discretionary performance bonus, and RRSP contributions.

Matching Summary

The Sales Compliance team provides day-to-day compliance oversight, monitoring, and advisory services related to Sales Practices and Business Entertainment and Workplace Gifts.

Salary

Base: $68,000 to $85,000; Bonus/Equity: Discretionary Performance Bonus; Benefits: Competitive compensation package

Skills & Requirements

Must-have

  • Sales Practices Policy
  • Business Entertainment and Workplace Gifts Policy
  • compliance monitoring and reporting
  • advisory services

Nice-to-have

  • strong culture of compliance
  • enabling business objectives
  • proactive risk identification

Key Requirements

  • Minimum of 2+ years of financial services experience
  • Strong knowledge of National Instrument 81-105
  • Post-secondary education (minimum three-year program) or equivalent experience
  • Canadian Securities Course (CSC) or Canadian Investment Funds Course (CIFC) preferred

Work Rights

Current work authorization for Canada is required

Tailored Resume

Cover Letter