Corporate Compliance Branch Manager
Core
Provide daily Tier 1 supervision of Wealth Advisors across Canada, manage overall compliance functions, and oversee branch operations for Fidelity Wealth.
Role type
Senior IC compliance manager (securities industry)
Builds
Compliance monitoring systems, training programs, and internal control frameworks for dealer activities
Domain
Financial services / Securities regulation
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Tier 1 supervision, regulatory review, policy development, training delivery, complaint investigation, corrective action implementation
Preferred skills
Mediation, influencing, technology interest, bilingualism
Technologies
Microsoft Office (Word, Excel, PowerPoint)
Responsibilities
Approve new accounts and material changes; conduct daily/monthly reviews of trading activity; deliver compliance training to advisors; manage regulatory reviews and audits; support investigations into complaints; conduct onsite branch visits
Seniority
Senior, hands-on IC