This is a hybrid role with a mix of remote and in-office working
Current work authorization for Canada is required for all openings.
Who We Are
At Fidelity, we’ve 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 we’re 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 you’ll be part of a diverse and dedicated group of people who make a real difference for our clients and communities every day. You’ll have a wide range of opportunities to grow and develop your career in an inclusive environment where you’ll 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
Role 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 FCC’s 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 We’re 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 $146,000 to $158,000, based on your experience and qualifications.
RRSP Contribution: After 6 months of employment, we invest in your future with an RRSP contribution—no employee matching required.
We’re proud to offer a compensation package that aligns with provincial pay transparency requirements.
This posting represents an existing vacancy within our organization—an 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 FidelityCanadaStaffing@fidelity.ca.
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
• Canada's Top 100 Employers
o Greater Toronto's Top Employers
o Canada's Top Family-Friendly Employers
o Canada's 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 Today's 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 Canada's Workplace Benefits Award - Future of Work Strategy
• TalentEgg National Recruitment Excellence Award - Special Award for Diversity & Inclusion in Recruiting
• Canadian HR Reporter's Most Innovative HR Team