Regulatory Compliance Manager, Trade Surveillance

Fidelity Canada

. Operate the Trade Surveillance Program daily .

Posted 9/18/2026full-timeToronto • CanadaMid-LevelSenior💰 CA$82,000 - CA$129,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates strong analytical skills and comprehensive knowledge in trading governance, with a focus on compliance and risk controls in the investment dealer industry. Proficient in interpreting regulatory instruments and maintaining robust pre-trade risk controls across trading platforms.

Highest-signal resume keywords

Trade Surveillance Program OperationElectronic Trading Rules KnowledgeMarket Data Systems ExperienceRegulatory Compliance ExpertiseStrong Analytical Skills

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Analytical SkillsTrading Governance KnowledgePre-Trade Risk ControlsMarket Data AnalysisOrder Flow TestingOrder Marking TestsSurveillance Testing MeasuresRegulatory ReportingDerivatives ExperienceCompliance Role Experience

Soft Skills

Strong Communication SkillsInterpersonal SkillsTraining and Development Skills

Tools & Technologies

Thompson ReutersBloombergMicrosoft ExcelMicrosoft AccessMicrosoft WordMicrosoft PowerPoint

Certifications & Qualifications

Canadian Securities Course (CSC)Certificate in Investment Dealer Compliance

Industry Keywords

Universal Market Integrity RulesCanada’s AML RegulationsCIRO RegulationsCSA RegulationsInvestment Dealer Industry

About the role

Key responsibilities & impact

Operate the Trade Surveillance Program daily
Investigate alerts relating to manipulative and deceptive practices, insider trading, and trading on material non-public information
Monitor trader communications and test order flow for possible trade-throughs
Oversee order marking tests and submit correction requests
Review order markers and large position reporting
Track surveillance testing measures and support periodic management reporting
Identify program and system improvement opportunities
Gather and analyze trade and market data against UMIR
Maintain robust pre-trade risk controls across FCC trading platforms
Track limit breaches, limit changes, and approval records
Participate in the Trade Review Committee and ensure committee functions are completed
Analyze and communicate business impacts of CIRO Electronic Trading Rules and recommend protective measures
Escalate incidents to the Manager, Trade Compliance, Director, Compliance, and/or Chief Compliance Officer
Assist with FINTRAC or CIRO reporting of high-risk items
Maintain records and retention of backup materials
Analyze daily trade activity and perform quarterly analytics on flagged orders
Advise, train, and develop compliance awareness among FCC employees
Interpret internal policies and regulatory instruments to resolve client and staff issues
Co-author and annually update policies and procedures
Assist with regulatory audits and complete regulatory reporting
Support pricing-related reviews and risk workflow analysis
Answer wire reviews and escalations
Provide backup for employee trading monitoring, firm and staff registrations, NRD maintenance, and regulatory requests

Requirements

What you’ll need

Current work authorization for Canada is required
Strong analytical skills
Working knowledge of 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 written, verbal, communication, and presentation skills
High proficiency with Microsoft Excel and Access
Good working ability with MS Word and PowerPoint
Strong interpersonal skills; proficient at providing and accepting feedback
Comprehensive knowledge in trading governance
5 or more years’ experience in the investment dealer industry, including compliance roles and/or trading desk experience
Completion of a university degree or equivalent work 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 (nice to have)
Trader training course, options supervisor course, or Conducts and Practices Handbook Course (nice to have)
Obtained or working towards Certificate in Investment Dealer Compliance (nice to have)

Benefits

Comp & perks

Flexible working arrangements - 100% remote, hybrid, and in office options
Company contributions to your group RRSP without a matching requirement from you
Comprehensive health benefits starting on the first day, with 100% employer-paid premiums
Up to $6000 annually for mental health services and therapy
Parental leave top-up to 100% of your salary for 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
Access to over 11,000 training and development courses
Tuition reimbursement
Monetary rewards for completing a required designation
Equal opportunity employer
Accommodations available on request during the application process