* Work with the team 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.* Participate in the Trade Review Committee (TRC) with and work with the team to 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* 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 is an asset* Trader training course, options supervisor course, or conducts and Practices Handbook Course is an advantage* Obtained or working towards Certificate in Investment Dealer Compliance is nice to have* 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 CIRO 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.



Positive working ability with MS Word and PowerPoint.* Strong interpersonal skills; proficient at providingand accepting feedback.* Comprehensive knowledge in trading governance**Base Salary and Discretionary Performance Bonus**: A competitive annual range of **$82,000 to $129,000**, based on your experience and qualifications.Fidelity Canada has become an employer of choice for talented people seeking rewarding career opportunities in the financial services industry. We look to hire outstanding individuals who want to maximize their potential and be challenged in all aspects of their skilled careers.To help our employees excel in their roles at Fidelity, we provide everyone here with the best training, resources and support possible throughout their careers. With our help, there’s no limit to what you can accomplish here.We’re excited you’re considering Fidelity for your career plans. The Search Jobs section is your online source for job opportunities at Fidelity. Using our site is simple - just take a few moments to create an online profile for your ideal job. Your profile is then automatically matched to open positions and you are notified via e-mail each time a match is made. Or, if you prefer, you can search our list of jobs before registering with us.Fidelity Canada welcomes and encourages applications from people with disabilities. Accommodations are available on request for candidates taking part in the selection process. If you require an accommodation, please email us at [email protected] respects the privacy of your information. Click for a.#J-18808-Ljbffr

📌 Regulatory Compliance Manager - C$82,000 - C$129,000 A Year (Winnipeg)
🏢 Fidelity Canada
📍 Winnipeg