Job DescriptionYou 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. This role requires travel 15% of the time. 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.Who We Are:At Fidelity, we’ve been helping Canadian investors build better financial futures for over 35 years. We offer individuals and institutions a range of trusted investment portfolios and services - and we’re constantly seeking to find new and better ways to help our clients. As a privately owned company, we boldly embrace innovation in all areas as we continue to grow our business into the future. Working with us means you’ll be part of a diverse and dedicated group of people who make a real difference for our clients and communities every day. You’ll have a wide range of opportunities to grow and develop your career in an inclusive setting where you’ll feel valued and supported to be your best - both personally and professionally.Role Overview - Corporate Compliance Branch ManagerReporting to the Director, Dealer Compliance, the Corporate Compliance Branch Manager will focus on providing Daily Tier 1 supervision of Wealth Advisors located across Canada. The successful applicant will work closely with the Dealer Compliance staff to manage Fidelity Wealth's overall compliance functions. The Corporate Compliance Branch Manager will ensure compliance standards are continuously and accurately monitored, communicated and updated while ensuring robust policies and procedures exist and are kept up to date on a regular basis. The Corporate Compliance Branch Manager is also responsible for the training program for all new Fidelity Wealth advisors, Investly staff and the development of the Financial Planning training program for all registered financial planners. The Corporate Compliance Branch Manager is also responsible for assisting the Director and CCO with management on corporate initiatives and projects involving dealer activities as may be required. The Corporate Compliance Branch Manager will work with the Director and CCO on regulatory reviews/queries, internal and external audit reviews and client complaints.Key AccountabilitiesBusiness Location OversightPerform approval of new accounts and material changes to existing accounts. Perform Tier 1 daily and monthly reviews of Wealth Advisors’ trading activity. Implementing timely corrective actions and ensuring internal controls are functional, facilitating appropriate escalations, as required. Key day-to-day contact for Wealth Advisors regarding compliance related matters. Follow up with Wealth Advisors and support staff on missing documentation. Support Wealth Advisors with ongoing compliance education and training. Conduct onsite branch visits at business locations as required.



Act as a back-up to members of FIC Dealer Compliance, as required. Assist with investigations related to complaints and regulatory inquiries. Foster a culture of compliance throughout the business and organization by promoting ethical behavior, accountability, and adherence to regulatory standards.ProjectsParticipate in projects and initiatives in support of Dealer Compliance objectives, Fidelity’s supported business lines and as directed by Manager, Dealer Compliance. Support the development, implementation and continuous improvement of Dealer Compliance’s related programs, technology, tools and resources designed to enable Wealth distribution channels to meet their regulatory requirements and achieve.Policies and ProceduresStay up to date on firm’s policies and procedures and communicate these changes to Wealth Advisors, and other dealer staff, as appropriate. Participate in developing, maintaining, and implementing changes to the policies and procedures.Training and CommunicationAssist with the creation, updates, and implementation of Wealth Advisor training programs, identifying patterns for targeted training, and recommending process improvements. Deliver training to Fidelity Wealth Advisors and other registered employees in formal training sessions.The Expertise You BringStrong knowledge of securities industry rules regulations applicable to dealer activities (CIRO, FINTRAC and all other applicable rules and regulations)Strong written and oral communication skillsStrong mediation and influencing skillsStrong interest and understanding of technologyEffective prioritization of tasks, ability to deliver under pressureExcellent interpersonal and collaborative skillsProficient in Microsoft Office applications, Word, Excel, and PowerPointBilingualism nice to haveWhat We Are Looking ForExperienceAt least 5 years of experience with CIRO (MFDA and/or IIROC) in a Tier 1 positionEducationUniversity degree or equivalent work experiencePost-secondary degree in communications, informational technology, social or digital mediaLicenses/Registrations/DesignationsMust have: Canadian Securities Course (CSC), Conduct and Practices Handbook Course, Branch Manager Course or Investment Dealer Supervisors Course or current equivalent CIRO examinationsNice to have: Partners, Directors and Senior Officers Course (PDO)Nice to have: Derivatives Fundamentals Course or equivalent CIRO examNice to have: Derivatives and Options Licensing Course or equivalent CIRO examBenefitsFlexible working arrangements - 100% remote, hybrid, and in office optionsCompetitive total compensation,



including company contributions to your group RRSP without a matching requirement from youComprehensive health benefits that start on your first day, with 100% employer-paid premiums, that include up to $6000 annually for mental health services and therapyParental leave top-up to 100% of your salary for a period of 25 weeksUp to $650 for home office equipmentGenerous time off policy, including 2 paid days annually to volunteer at a charity of your choiceDiversity and inclusion programs, including an active network of Employee Resource GroupsExtensive professional development opportunities, including access to over 11,000 training and development courses, tuition reimbursement, and monetary rewards for completing a required designationTotal Rewards That Reflect Your ImpactWe 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 $99,000 to $123,000 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.Why Work at Fidelity?Canada’s Top 100 EmployersGreater Toronto's Top EmployersCanada's Top Family-Friendly EmployersCanada's Top Employers for Young PeopleGreat Place To Work® CertifiedBest Workplaces for InclusionBest Workplaces for Mental WellnessBest Workplaces for Today's YouthBest Workplaces for WomenBest Workplaces in Financial Services & InsuranceBest Workplaces in OntarioBest Workplaces with Most Trusted Executive TeamsLinkedIn Top Companies in CanadaHuman Resource Director (HRD) - Best Place To WorkHRD - 5-Star Benefit ProgramHRD - 5-Star Diversity & Inclusion Employer DesignationsCanadian Compassionate Companies – CertifiedBenefits Canada's Workplace Benefits Award - Future of Work StrategyTalentEgg National Recruitment Excellence Award - Special Award for Diversity & Inclusion in RecruitingCanadian HR Reporter's Most Innovative HR TeamAbout UsFidelity Canada has become an employer of choice for talented people seeking rewarding career opportunities in the financial services industry. We look to hire outstanding individuals who want to maximize their potential and be challenged in all aspects of their professional careers. To help our employees excel in their roles at Fidelity, we provide everyone here with the best training, resources and support possible throughout their careers. With our help, there’s no limit to what you can accomplish here. We’re excited you’re considering Fidelity for your career plans.Fidelity Canada welcomes and encourages applications from people with disabilities. Accommodations are available on request for candidates taking part in the selection process.Fidelity respects the privacy of your information.#J-18808-Ljbffr

📌 Corporate Compliance Branch Manager (Winnipeg)
🏢 Fidelity
📍 Winnipeg