Sales Compliance Analyst

About the role

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