Job Description
Drive compliance excellence at Fidelity Clearing Canada as a Regulatory Compliance Manager. This contract role allows for a hybrid working environment, focusing on trade surveillance and risk management.
In this pivotal position reporting to the Manager, Trade Compliance, you will spearhead the daily operations of the Trade Surveillance program. Your skills will facilitate effective incident management, risk assessment, and staff training to enhance compliance with evolving regulations.
Key Responsibilities: • Manage the daily Trade Surveillance operations • Investigate alerts for trading irregularities and oversee records • Implement pre-trade risk controls and assess limit breaches • Report high-risk incidents to regulatory bodies • Train staff on compliance policies and best practices
Requirements: • 5+ years of experience in compliance and trading • University degree and knowledge of related regulatory frameworks • Familiarity with trade surveillance tool...
In this pivotal position reporting to the Manager, Trade Compliance, you will spearhead the daily operations of the Trade Surveillance program. Your skills will facilitate effective incident management, risk assessment, and staff training to enhance compliance with evolving regulations.
Key Responsibilities: • Manage the daily Trade Surveillance operations • Investigate alerts for trading irregularities and oversee records • Implement pre-trade risk controls and assess limit breaches • Report high-risk incidents to regulatory bodies • Train staff on compliance policies and best practices
Requirements: • 5+ years of experience in compliance and trading • University degree and knowledge of related regulatory frameworks • Familiarity with trade surveillance tool...