Fidelity Canada seeks a Sales Compliance Analyst for its Toronto location, offering a flexible hybrid schedule. Contribute to compliance efforts while engaging with the dynamic sales team in a leading financial institution.
In this role, you will provide essential compliance support to advisor and sales teams, responding promptly to their inquiries. You will review co-operative marketing requests, conduct monitoring activities, and help identify risks. Collaborate to improve compliance measures and assist in training new staff for best practices.
Key Responsibilities:
• Provide advisory support on sales compliance issues
• Approve marketing initiatives in line with regulations
• Conduct compliance monitoring and document findings
• Track compliance issues to ensure resolutions
• Enhance training materials for sales staff engagement
Requirements:
• At least 2 years of financial services experience
• Strong knowledge of sales compliance frameworks
• Profi...