Job Description

This is a hybrid role with a mix of remote and in-office working

Current work authorization for Canada is required for all openings.

The work location for this role is 483 Bay Street in Toronto until approximately late 2026 when the work location will change to the new Mississauga office at 3 Robert Speck Parkway.

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 professionally.

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

Overview

Reporting to the Director Compliance FCC the Manager Trade Compliance is primarily responsible for providing oversight on the daily operations of the Trade Surveillance Program (Program) and lead the Trade Surveillance Team (Team). The incumbent will assist the Director Compliance and the Chief Compliance Officer (CCO) in ensuring that FCC meets all its regulatory requirements in trading clearing and custody business.

What You Will Do

Trade Surveillance Program

• Work with Team to manage FCCs trade surveillance activities

• Collaborate with the Director Compliance to improve upon existing Program.

• Oversee the implementation and ongoing effectiveness of the surveillance tools and systems

Surveillance Monitoring

• Oversee the daily monitoring of trading activity using surveillance tools such as SteelEye.

• Investigate alerts generated by surveillance tools assess the potential for misconduct and escalate concerns accordingly.

• Identify potential risks from alerts and trading activity.

• Assist with quality control testing to ensure accuracy in alerts resolution

Policy Development and Maintenance

• Develop implement and update internal policies and procedures and controls to address emerging risks and regulatory changes.

• Work with the Trade Surveillance team to improve upon existing procedures.

Leadership- Adhere to all people manager accountabilities by exemplifying the Fidelity values and

• Conducts regular employee meetings to review performance provide constructive feedback and has development discussions.

• Ensure that all direct reports have set performance expectations and goals in the tool by organizational deadline; update as necessary throughout the year.

• Sets clear concrete and actionable bonus goals for the department to drive the business forward

Compliance and risk support

• Advise train and develop awareness of compliance related issues among FCC employees.

• Interpret both internal policies and regulatory instruments to resolve both client and staff related issues.

• May lead and/or assist with regulatory audit and inquiry requests.

• Assist as required in processing and analysis of risk daily workflow.

• Act as backup for regulatory reporting such as short position reporting Large Open Position Reporting and Fixed income reporting.

• Work with Director Compliance to develop and provide training and guidance to the Team

Incident escalation and management

• Ensure all incidents are escalated appropriately to the Director Compliance and/or Chief Compliance Officer

• Record keeping and retention of all back up materials and analyze daily trade activity to determine flags which are appropriately tracked

What Were Looking For:

• Completion of University degree or equivalent experience

• 7 years of experience in broker/dealer relations compliance and/or operations

• 5 years of experience trading/trader supervision

• High level of proficiency with Microsoft Excel and PowerPoint good working ability with other Microsoft applications.

• 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:

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

• Strong interpersonal skills; proficient at providing and accepting feedback

• Proven management and leadership behaviours

• Effective communication written verbal and presentation skills

• Ability to manage multiple priorities and work under pressure

For this role your total rewards include:

• Base Salary and Discretionary Performance Bonus: A competitive annual range of $146000 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.

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

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