Job DescriptionThis hybrid role combines remote and in‑office work at 483 Bay Street in Toronto until late 2026, after which the location will shift to 3 Robert Speck Parkway in Mississauga. It is a contract position ending October2027 and requires current work authorization for Canada.ResponsibilitiesOversee the daily operation of the Trade Surveillance Program, investigating alerts generated by the application—including manipulative and deceptive practices, insider trading, and trading on material non‑public information—and support creation of periodic management reporting.Collaborate with the team to identify program and system improvement opportunities and maintain robust pre‑trade risk controls across all trading platforms.Track limit breaches, monitor limit changes, and record approvals for limit adjustments.Participate in the Trade Review Committee (TRC) to ensure timely completion of committee functions, analyze the impact of CIRO Electronic Trading Rules, and provide recommendations to protect the firm against financial loss.Escalate incidents to the Manager, Trade Compliance, Director, or Chief Compliance Officer and assist with regulatory reporting to FINTRAC or CIRO.Maintain record‑keeping and retention of all backup materials, perform quarterly analytics on flagged orders, and support pricing‑related reviews and regulatory audit requests.Advise, train, and develop awareness of compliance issues among FCC employees, co‑author policies and procedures, and serve as backup for response to regulatory requests and employee trading monitoring.QualificationsAt least 5 years of experience in the investment dealer industry,



including roles in compliance and/or trading desk.University degree completion.Experience with derivatives such as Canadian exchange‑traded futures and options.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 is an advantage.Certificate in Investment Dealer Compliance or working toward it is a nice to have.Strong analytical skills and 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.High level of proficiency with Microsoft Excel and Access; valuable working ability with MS Word and PowerPoint.Strong communication, written, verbal and presentation skills, and strong interpersonal skills.BenefitsAnnual base salary range of $82,000 to $129,000, based on experience and qualifications.Discretionary performance bonus potential.RRSP contribution program after 6 months of employment.Competitive benefits package aligned with provincial pay transparency requirements.Equal Opportunity EmployerFidelity Canada is an equal‑opportunity employer. We are committed to fostering a diverse and inclusive workplace. We will consider all qualified applicants for employment regardless of race, color, religion, sex, sexual orientation, gender identity or expression, national or ethnic origin, age, disability, family status, protected veterans’ status, Aboriginal/Native American status or any other legally‑protected ground.Accommodation during the application process: we welcome and encourage applications from people with disabilities. Accommodations are available on request.#J-18808-Ljbffr

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