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Regulatory Compliance Manager

4 months ago

Toronto, Canada Fidelity Investments Full time

Job Description

About Us:
Fidelity Clearing Canada (FCC) is the leading independent clearing broker and custodian in the Canadian market. We provide trade execution, clearing, custody and back-office support services to Canadian-based brokerage firms and the Canadian brokerage arms of U.S.based firms.

For more information about Fidelity Clearing Canada, please visit

Role Overview:
What You Will Do:
Trade surveillance
- Responsible for the daily operation of the Trade Surveillance Program.
- Collaborate with Compliance Manager and Director Compliance in identifying program improvement opportunities.
- Working together with the Compliance Manager on daily investigation of alerts relating to possible manipulative and deceptive practices, insider trading and trading on material non-public information; testing of order flow to detect possible trade-throughs; oversee testing for correct order marking and submit order marker correction requests; conduct order marker and large position reporting review; support creation of periodic management reporting of the Surveillance program; daily statistical tracking of all surveillance testing measures.
- Gathering and analyzing trade and market data against Universal Market Integrity Rules (UMIR) to identify manipulative and deceptive trading activity.

Pre-trade risk controls
- Work with Compliance Manager and Director, Compliance, to ensure there is a robust and effective set of pre-trade risk controls in place for order flow in the various trading platforms used by FCC.
- Track limit breaches across all systems, perform monitoring for limit changes and tracking of limit change approvals.
- Co-chair the Trade Review Committee (TRC) with the Compliance Manager and ensure all committee functions are completed in a timely manner.
- Analyze, interpret, and communicate business impacts relating to the Canadian Investment Regulatory Organization (CIRO) Electronic Trading Rules and provide recommendations to the TRC on measures to protect FCC against financial loss.

Incident escalation and management
- Ensure all incidents are escalated appropriately to the Director, Compliance and/or Chief Compliance Officer.
- Assist with regulatory reporting of high-risk items to either FINTRAC or CIRO.
- Record keeping and retention of all back up materials.
- Analyze daily trade activity to determine flags which are appropriately tracked.
- Perform quarterly analytics on flagged orders to identify patterns of abusive trading activity.

Compliance and risk support
- Advise, train, and develop awareness of compliance related issues among FCC staff which may involve both staff training and support.
- Interpret both internal policies and regulatory instruments to resolve both client and staff related issues.
- Co-author new policies and procedures with the P&P Director,
- Assist with regulatory audit requests
- Complete regulatory reporting such as short position reporting, Large Open Position Reporting and Fixed income reporting.
- Update and review existing policies and procedures annually or as required.
- Act as a backup for response to regulatory requests.
- Assist as required in processing and analysis of risk daily workflow.
- Assist in answering wire reviews and escalations
- Act as a backup for monitoring of employee trading.
- Act as a backup for both firm and staff registrations and NRD maintenance.

What We’re Looking For:

- 5 or more years’ experience in the investment dealer industry, including experience in compliance roles and/or trading desk
- Completion of University degree or equivalent working experience
- Work experience with derivatives such as Canadian exchange traded futures and options
- Obtained or working towards CSC

Nice to have:

- 3+ years of experience in trade surveillance related compliance and pre-trade risk controls
- Trader training course, options supervisor course, or conducts and Practices Handbook Course
- Obtained or working towards Certificate in Investment Dealer Compliance

Expertise You Will Bring:

- Strong analytical skills.
- Working knowledge of the Electronic Trading Rules, Universal Market Integrity Rules, Canada’s AML regulations applicable to a Broker Dealer and other IIROC and CSA regulations.
- Experience working with Market Data systems such as Thompson Reuters and Bloomberg.
- Strong communication, written, verbal and presentation skills.
- High level of proficiency with Microsoft Excel and Access. Good working ability with MS Word and PowerPoint.
- Strong interpersonal skills; proficient at providing and accepting feedback.
- Comprehensive knowledge in IIROC trading
- Current work authorization for Canada is required for all openings._
- You will be working on a flexible hybrid schedule as part of Fidelity’s dynamic working arrangement._

Fidelity Canada is an equal opportunity employer

Fidelity Canada is committed to fostering a diverse and inclusive workplace. We will consider all qualified applicants for employment