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Regulatory Compliance Manager
2 months ago
About Us:
Fidelity Clearing Canada (FCC) is a leading independent clearing broker and custodian in the Canadian market, providing 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 our website.
Role Overview:The Regulatory Compliance Manager reports to the Director, Compliance and is primarily responsible for the daily operation of the Trade Surveillance program and Trade Desk Supervision. Key areas of accountability include daily investigation of alerts generated by FCC's Trade Surveillance Program and various regulatory reporting. You will provide subject matter expertise for system and procedure development and improvement, assist with staff training, generate reporting metrics for periodic reporting. In addition, the role may also be involved with responsibility as a backup for other team members by assisting with responding to general inquiries and review various operational requests (such as fund movement, pricing requests etc.). You will also provide backup for other Risk and Compliance functions and will be a member of a team of compliance professionals dedicated to meeting the requirements of an ever-evolving regulatory landscape.
Key Responsibilities:- 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.
- 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.
- 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.
- 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.
We are looking for a highly skilled and experienced Regulatory Compliance Manager to join our team. If you have a strong background in compliance and risk management, excellent analytical and communication skills, and a passion for staying up-to-date with regulatory changes, we encourage you to apply.
As a Regulatory Compliance Manager at Fidelity Clearing Canada, you will have the opportunity to work with a talented team of compliance professionals, develop your skills and expertise, and contribute to the success of our organization.
We offer a competitive salary and benefits package, as well as opportunities for professional growth and development.
Apply today to join our team and take the next step in your career
Why Work at Fidelity?We are proud to be recipients of the following awards:
Awards- Canada's Top 100 Employers
- Greater Toronto's Top Employers
- Canada's Top Family-Friendly Employers
- Canada's Top Employers for Young People
- Great Place To Work Certified
- LinkedIn Top Companies in Canada
- Human Resource Director (HRD) - Best Place To Work
- Canadian Compassionate Companies – Certified
- Benefits Canada's Workplace Benefits Award - Future of Work Strategy
- TalentEgg National Recruitment Excellence Award - Special Award for Diversity & Inclusion in Recruiting
- Canadian HR Reporter's Most Innovative HR Team
