Trade Supervision and Oversight Manager

Current work authorization for Canada is required for all openings.

You will be working on a flexible hybrid schedule as part of Fidelitys dynamic working arrangement.

Who We Are

At Fidelity weve been helping Canadian investors build better financial futures for over 35 years. We offer individuals and institutions a range of trusted investment portfolios and services - and were constantly seeking to find new and better ways to help our clients. As a privately owned company we boldly embrace innovation in all areas as we continue to grow our business into the future.

Working with us means youll be part of a diverse and dedicated group of people who make a real difference for our clients and communities every day. Youll have a wide range of opportunities to grow and develop your career in an inclusive environment where youll feel valued and supported to be your best - both personally and expertly.

Business Overview

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 You Will Do

The Trade Supervision and Oversight Manager is responsible for the effective supervision and oversight of trading activities across a multi-asset desk ensuring full compliance with Canadian regulatory requirements and internal policies. Reporting to the VP Trading and Treasury this position partners closely with Trading Compliance Risk and Technology teams to maintain robust supervisory practices and controls enhance surveillance capabilities and drive continuous improvement. These controls must be aligned with CIRO (Canadian Investment Regulatory Organization) CSA regulations and applicable marketplace rules.

Responsibilities also include partnering with the Directors of Trading on business management risk and project oversight as well as assisting with vendor and marketplace relationships. This role will be expected to leverage technology extensively and collaborate with the Trade desk to minimize any manual practices or desk patterns.

The value you deliver

Trading Supervision and Regulatory Oversight

• Supervise daily trading activity across asset classes (e.g. equities fixed income FX equity options and securities lending) in accordance with CIRO Dealer Member Rules/Universal Market Integrity Rules (UMIR) marketplace regulations and CSA requirements

• Utilizing data-driven applications monitor trading conduct to ensure adherence to:

• Best execution obligations (NI 23-101 / UMIR)

• Marketplace trading rules and fair access requirements

• Prohibition on manipulative and deceptive trading practices

• Conduct daily and periodic supervisory reviews including exception monitoring and trade surveillance alerts

• Identify investigate and escalate potential regulatory breaches

• Provide guidance to traders on regulatory interpretation internal policies and evolving Canadian market structure requirements

• Maintain update and refine existing desk policy and procedure documents including written Supervisory Procedures (WSPs) in alignment with CIRO expectations

Surveillance and Technology Enablement

• Utilize trade surveillance systems and analytics tools to monitor trading activity in real-time and post-trade

• Enhance supervisory effectiveness through automation data analytics and control frameworks

• Partner with Compliance and Technology to continuously improve surveillance scenarios alert calibration and reporting

• Develop dashboards KPIs and exception reports to support risk-based supervision

• Ensure appropriate recordkeeping and audit trails consistent with regulatory requirements

Marketplace and Execution Venue Oversight

• Assist VP and Directors with relationship manager functions for Canadian and global execution venues including exchanges ATSs and liquidity providers

• Oversee broker and venue selection in support of best execution and trading efficiency

• Evaluate execution quality routing logic and transaction cost outcomes

Supplier/Vendor Risk Management

• Assist with relationship management activities for desk vendors including trading and market data providers

• Assist with onboarding new vendors and lead annual vendor activities including security updates risk reviews and information updates

• Ongoing monitoring of service level agreements (SLAs)

Governance Controls and Reporting

• Maintain strong governance frameworks supporting demonstrable supervision and control effectiveness

• Prepare reporting for senior management on:

• Trading supervision metrics surveillance outcomes and escalations vendor risk and performance assessments

• Support the business during regulatory examinations external and internal audits and compliance and regulatory reviews

• Maintain documentation consistent with Canadian regulatory recordkeeping and audit standards

The Expertise You Bring

• Strong Knowledge of CIRO Dealer Member and UMIR rules

• Deep understanding of trading and market structure for equity fixed income FX and securities finance markets

• Experience with trade surveillance tools and exception-based monitoring frameworks

• Strong analytical and investigative skills with the ability to assess trading patterns and risk indicators

• Determined and critical insight with the ability to assert research backed conclusions

• Strong customer service and relationship management skills

• Flexibility to effectively deal with and adapt to change in environment of frequent change; agility to grasp new concepts and revise ways of thinking and behaving.

• Excellent organizational skills and ability to work with minimal supervision. Adept at multi-tasking highly organized and managing many initiatives/projects simultaneously

• Experience working with cross-functional teams including trading legal audit and risk.

• Effective communication written verbal and presentation skills

• Ability to manage multiple priorities and work under pressure

What We Are Looking For

• University Degree or equivalent relevant work experience

• 5 years experience as a Trader or Compliance oversight working experience

• CSC ( Canadian Securities Course ) and CPH ( Conduct and Practices Handbook Course ) and TTC ( Trader Training Course )

• OLC ( Options Licensing Course) or DFC ( Derivatives Fundamentals) would be an asset

• CFA ( Chartered Financial Analyst ) and/or CIM ( Chartered Investment Manager) are Nice to have

We use AI-enabled LinkedIn Hiring Assistant to support parts of our sourcing process. Every hiring decision is reviewed and finalized by our recruiters. If you choose to ask questions to the LinkedIn HR Hiring Assistant please be mindful that the responses are not official and must be confirmed for accuracy and completeness by Fidelity. If you are selected for an interview the recruiter who contacts you can best answer your questions.

Total Rewards That Reflect Your Impact

We believe exceptional work deserves exceptional recognition. Thats why we offer a competitive compensation package designed to support your success todayand your financial well-being tomorrow.

For this role your total rewards include:

• Base Salary and Discretionary Performance Bonus: Total annual cash compensation (base salary plus target bonus) ranges from $133000 to $158000 based on your experience and qualifications.

• RRSP Contribution: After 6 months of employment we invest in your future with an RRSP contributionno employee matching required.

Were proud to offer a compensation package that aligns with provincial pay transparency requirements.

This posting represents an existing vacancy within our organizationan opportunity to step into a role where your talents will make a meaningful difference.

Some of the ways well help you feel valued and supported as part of our team

• Flexible working arrangements - 100% remote hybrid and in office options

• Competitive total compensation including company contributions to your group RRSP without a matching requirement from you

• Comprehensive health benefits that start on your first day with 100% employer-paid premiums that include up to $6000 annually for mental health services and therapy

• Parental leave top-up to 100% of your salary for a period of 25 weeks

• Up to $650 for home office equipment

• Generous time off policy including 2 paid days annually to volunteer at a charity of your choice

• Diversity and inclusion programs including an active network of Employee Resource Groups

• Extensive professional development opportunities including access to over 11000 training and development courses tuition reimbursement and monetary rewards for completing a required designation

• We care a lot about fostering a compassionate people-centric culture and are proud to have been named one of Canadas Top 100 employers for the last five years.

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 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

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 .

No telephone inquiries or agencies please. We thank all applicants for their interest please be advised that only those selected for an interview will be contacted.

Why Work at Fidelity

We are proud to be recipients of the following:

Awards

Canadas Top 100 Employers
o Greater Torontos Top Employers
o Canadas Top Family-Friendly Employers
o Canadas Top Employers for Young People

Great Place To Work Certified
o Best Workplaces for Inclusion
o Best Workplaces for Mental Wellness
o Best Workplaces for Todays Youth
o Best Workplaces for Women
o Best Workplaces in Financial Services & Insurance
o Best Workplaces in Ontario
o Best Workplaces with Most Trusted Executive Teams

LinkedIn Top Companies in Canada

Human Resource Director (HRD) - Best Place To Work
o HRD - 5-Star Benefit Program
o HRD - 5-Star Diversity & Inclusion Employer

Designations
Canadian Compassionate Companies Certified
Benefits Canadas Workplace Benefits Award - Future of Work Strategy
TalentEgg National Recruitment Excellence Award - Special Award for Diversity & Inclusion in Recruiting
Canadian HR Reporters Most Innovative HR Team