Job Description

You 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 Manager

Reporting 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 Accountabilities

1. Business Location Oversight Perform 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.
2. Projects Participate 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.
3. Policies and Procedures Stay 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.
4. Training and Communication Assist 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 Bring

- Strong knowledge of securities industry rules regulations applicable to dealer activities (CIRO, FINTRAC and all other applicable rules and regulations)
- Strong written and oral communication skills
- Strong mediation and influencing skills
- Strong interest and understanding of technology
- Effective prioritization of tasks, ability to deliver under pressure
- Excellent interpersonal and collaborative skills
- Proficient in Microsoft Office applications, Word, Excel, and PowerPoint

📌 Corporate Compliance Branch Manager (Toronto)
🏢 Fidelity International
📍 Toronto