Sales Compliance Analyst

Job Description

What You Should Know:

• 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.
• 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 environment where you’ll feel valued and supported to be your best - both personally and professionally.

What We Do (The Team You’ll Be Part Of):

The Sales Compliance team is responsible for supporting the business by providing day-to-day compliance oversight, monitoring, and advisory services related to Sales Practices and Business Entertainment and Workplace Gifts (BEWG). The team partners closely with advisor, institutional sales, and emerging channel teams to ensure activities are conducted in accordance with applicable regulations, internal policies, and industry best practices. Through monitoring, reporting, training, and project participation, the team plays a critical role in maintaining a strong culture of compliance while enabling business objectives. Reporting to the Manager, Sales Compliance, the Sales Compliance Analyst is responsible for monitoring and oversight of Fidelity’s Business Entertainment and Workplace Gifts Policy (“BEWG”) and Sales Practices Policy and Procedures. The role entails completion of daily monitoring and reporting, approval of co-operative sales practices requests, and advisory services to the advisor and institutional sales teams on a day-to-day basis.

How You’ll Make An Impact:

• Provide ongoing compliance advisory support related to Sales Practices and BEWG policies and procedures
• Respond accurately and timely to inquiries from advisor, institutional sales, and emerging channel teams via phone and email, including escalation inbox support
• Review and approve co-operative marketing initiatives, conferences, charity, and sponsorship requests in line with regulatory and internal requirements
• Conduct, document, and report compliance monitoring activities, escalating issues and recommending effective remediation where required
• Proactively identify risks, gaps, and opportunities for improvement in business activities and monitoring programs
• Track compliance issues and action plans through to successful remediation
• Act as a subject matter expert and contribute to cross-functional and cross-divisional projects
• Maintain and enhance compliance training materials in collaboration with Learning & Development
• Support delivery of in-person and virtual training sessions for new sales staff

What We Are Looking For:

• Minimum of 2+ years of financial services experience, preferably at a mutual fund manager or dealer
• Strong knowledge of National Instrument 81-105 and sales practices compliance frameworks
• Excellent written, verbal, and interpersonal communication skills
• Ability to work independently, manage multiple priorities, and meet tight deadlines
• Strong time management skills with a high level of attention to detail
• Proficiency in Microsoft Word, Excel, and PowerPoint
• Commitment to accuracy, consistency, and excellence
• Post-secondary education (minimum three-year program) or equivalent experience
• Canadian Securities Course (CSC) or Canadian Investment Funds Course (CIFC) preferred

Total Rewards That Reflect Your Impact:

We 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: A competitive annual range of $68,000 to $85,000 based on your experience and qualifications.
• RRSP Contribution: After 6 months of employment, we invest in your future with an RRSP contribution—no employee matching required. We’re proud to offer a compensation package that aligns with provincial pay transparency requirements. This posting represents an existing vacancy within our organization—an opportunity to step into a role where your talents will make a meaningful difference.
• We use AI-enabled LinkedIn Hiring Assistant to support parts of our sourcing process. Every hiring decision is reviewed and finalized by our recruiters. If you choose to ask questions to the LinkedIn HR Hiring Assistant, please be mindful that the responses are not official and must be confirmed for accuracy and completeness by Fidelity. If you are selected for an interview, the recruiter who contacts you can best answer your questions.

Some of the ways we’ll help you feel valued and supported as part of our team:

• Flexible working arrangements - 100% remote, hybrid, and in office options
• Competitive total compensation, including company contributions to your group RRSP without a matching requirement from you
• Comprehensive health benefits that start on your first day, with 100% employer-paid premiums, that include up to $6000 annually for mental health services and therapy
• Parental leave top-up to 100% of your salary for a period of 25 weeks
• Up to $650 for home office equipment
• Generous time off policy, including 2 paid days annually to volunteer at a charity of your choice
• Diversity and inclusion programs, including an active network of Employee Resource Groups
• Extensive professional development opportunities, including access to over 11,000 training and development courses, tuition reimbursement, and monetary rewards for completing a required designation

We care a lot about fostering a compassionate, people-centric culture, and are proud to have been named one of Canada’s Top 100 employers for the last five years. Fidelity Canada is an equal opportunity employer Fidelity Canada is committed to fostering a diverse and inclusive workplace. We will consider all qualified applicants for employment regardless of race, color, religion, sex, sexual orientation, gender identity or expression, national or ethnic origin, age, disability, family status, protected veterans’ status, Aboriginal/Native American status or any other legally-protected ground. Accommodation during the application process Fidelity Canada welcomes and encourages applications from people with disabilities. Accommodations are available on request for candidates taking part in the selection process. If you require an accommodation, please email us at FidelityCanadaStaffing@fidelity.ca. No telephone inquiries or agencies please. We thank all applicants for their interest, please be advised that only those selected for an interview will be contacted.

Why Work at Fidelity?

We are proud to be recipients of the following:

Awards

• Canada's Top 100 Employers
• Greater Toronto's Top Employers
• Canada's Top Family-Friendly Employers
• Canada's Top Employers for Young People
• Great Place To Work® Certified
• Best Workplaces for Inclusion
• Best Workplaces for Mental Wellness
• Best Workplaces for Today's Youth
• Best Workplaces for Women
• Best Workplaces in Financial Services & Insurance
• Best Workplaces in Ontario
• Best Workplaces with Most Trusted Executive Teams
• LinkedIn Top Companies in Canada
• Human Resource Director (HRD) - Best Place To Work
• HRD - 5-Star Benefit Program
• HRD - 5-Star Diversity & Inclusion Employer

Designations

• Canadian Compassionate Companies – Certified
• Benefits Canada's Workplace Benefits Award - Future of Work Strategy
• TalentEgg National Recruitment Excellence Award - Special Award for Diversity & Inclusion in Recruiting
• Canadian HR Reporter's Most Innovative HR Team