Compliance Analyst, Fidelity Clearing Canada
Core
Assist the Compliance team with regulatory obligations, audit coordination, daily operational inquiries, and policy maintenance for a clearing broker and custodian.
Role type
Compliance Analyst
Builds
Compliance reports, regulatory submissions, corrective action plans, and audit responses for senior management and governance committees.
Domain
Financial Services / Investment Dealer / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Regulatory compliance knowledge (CIRO, CSA, AML, QI/FATCA/CRS), Microsoft Excel, Dataphile, policy gap analysis, incident escalation management, data gathering for investigations
Preferred skills
CIRO regulatory reporting systems (Order Marking Corrections, Short Reporting, Gatekeeper), Salesforce, Digital asset knowledge, Trade Compliance experience
Technologies
Dataphile, Salesforce, Microsoft Office
Responsibilities
Manage review of return mail and abandoned properties; maintain project trackers; assist with policy updates and gap analysis; prepare compliance reports and regulatory submissions; support Trade Compliance with order marking review and testing; coordinate audit requests and corrective action plans; resolve general inquiries and escalations in compliance systems.
Seniority
Mid-level, hands-on IC