Sales Compliance

Description:

The Senior Sales Compliance Analyst supports and oversees Fidelity’s Business Entertainment & Workplace Gifts (BEWG) and Sales Practices policies. This role provides advisory services to sales teams, conducts monitoring and reporting, and supports compliance projects. The position requires strong working knowledge of NI 81-105 and familiarity with mutual fund sales practices. The analyst collaborates closely with internal stakeholders to ensure compliance adherence and contributes to ongoing program enhancements and training.

Key Responsibilities:

• Provide day-to-day advisory services on BEWG and Sales Practices policies

• Deliver compliance oversight for NI 81-105 5.2 event-related activities, including:

  • Dealer consent

  • Invitation/registration management

  • Approval coordination

  • Organized group events for emerging business lines

• Conduct and document compliance monitoring results

• Act as SME on cross-divisional compliance projects

• Maintain and enhance training programs for BEWG and Sales Practices policies

• Prepare accurate and timely compliance reports for management and internal committees

Qualifications:

• 3+ years relevant experience

• 2+ years mutual fund manager or dealer experience, preferably in Sales Compliance

• College degree or equivalent work experience

• Knowledge of NI 81-105 and sales practices compliance requirements

• Strong analytical, research, communication, investigative, and presentation skills

• Proficiency in MS Word, Excel, PowerPoint

• Strong time management and ability to handle multiple priorities

• Bilingual (English/French) is an asset

• Canadian Securities Course (CSC) or CIFC preferred

Desired Characteristics:

• Strong initiative and ability to work independently

• High attention to detail and commitment to excellence

• Strong interpersonal skills and ability to partner with sales teams

• Able to meet tight deadlines in a fast-paced environment

• Professional, ethical, and compliance-oriented mindset

Additional Requirements:

• Must have legal authorization to work in Canada

• Hybrid work schedule

• Accessibility accommodations available during recruitment

• Internal applicants must apply by November 14, 2025