Regulatory Compliance Manager

Fidelity Canada

Toronto, ON, Canada
Base: $82,000 to $129,000; bonus: discretionary pe...
Hybrid
5+ years investment dealer experience
Trade surveillance operations
Pre-trade risk controls
This role is responsible for the daily operation of the Trade Surveillance Program and managing investigations into potential market manipulation and insider trading

Job Summary

  • This role is responsible for the daily operation of the Trade Surveillance Program and managing investigations into potential market manipulation and insider trading.
  • The position requires working knowledge of Universal Market Integrity Rules (UMIR) and Canadian Investment Regulatory Organization (CIRO) Electronic Trading Rules to protect against financial loss.
  • Fidelity Canada offers a competitive compensation package ranging from $82,000 to $129,000 plus an RRSP contribution after six months of employment.

Matching Summary

This role is responsible for the daily operation of the Trade Surveillance Program and managing investigations into potential market manipulation and insider trading.

Salary

Base: $82,000 to $129,000; Bonus: Discretionary Performance Bonus; Benefits: RRSP contribution after 6 months

Skills & Requirements

Must-have

  • 5+ years investment dealer experience
  • Trade surveillance operations
  • Pre-trade risk controls
  • CIRO and UMIR regulatory knowledge
  • Market data systems (Thomson Reuters/Bloomberg)
  • Strong analytical skills
  • Microsoft Excel and Access proficiency

Nice-to-have

  • Derivatives trading experience
  • Trader training course completion
  • Options supervisor course
  • Certificate in Investment Dealer Compliance
  • Conducts and Practices Handbook Course
  • Experience with derivatives like futures and options

Key Requirements

  • 5 or more years in investment dealer industry
  • University degree required
  • Work authorization for Canada required
  • Contract role ending October 2027
  • CSC certification obtained or in progress
  • 3+ years in trade surveillance compliance

Work Rights

Current work authorization for Canada required

Tailored Resume

Cover Letter