Compliance Manager Fcc

Fidelity Clearing Canada (FCC)

Toronto, ON, Canada
Base: $115,000 to $150,000; bonus: discretionary p...
Hybrid
7+ years broker/dealer compliance experience
Trade surveillance program management
Ciro and umir regulatory knowledge
This hybrid role supports Fidelity Clearing Canada's trade surveillance program and daily operational supervision

Job Summary

  • This hybrid role supports Fidelity Clearing Canada's trade surveillance program and daily operational supervision.
  • The position requires managing alert investigations, regulatory reporting, and maintaining pre-trade risk controls in a complex environment.
  • Candidates will receive a competitive base salary between $115,000 and $150,000 along with RRSP contributions after six months.

Matching Summary

This hybrid role supports Fidelity Clearing Canada's trade surveillance program and daily operational supervision.

Salary

Base: $115,000 to $150,000; Bonus: Discretionary Performance Bonus; Benefits: RRSP contribution after 6 months

Skills & Requirements

Must-have

  • 7+ years broker/dealer compliance experience
  • Trade surveillance program management
  • CIRO and UMIR regulatory knowledge
  • Pre-trade risk controls implementation
  • SteelEye or similar surveillance tools

Nice-to-have

  • Trader training course certification
  • Options supervisor course completion
  • Certificate in Investment Dealer Compliance
  • Experience with IRESS and Bloomberg
  • Strong interpersonal communication skills

Key Requirements

  • Bachelor's degree in Finance, Economics, or Business
  • Current work authorization for Canada required
  • 7+ years in broker/dealer relations or compliance
  • 5+ years in trade surveillance and pre-trade risk controls
  • Proficiency in Microsoft Excel and PowerPoint

Work Rights

Current work authorization for Canada is required

Tailored Resume

Cover Letter