Sun Life compliance director overseeing CIRO trade supervision and risk - based monitoring across mutual fund and securities businesses. Leading regulatory oversight, transformation, reporting, and a high - performing compliance team.
About the role
- Regulatory Compliance Manager overseeing trade surveillance, pre-trade controls, and regulatory reporting. Supporting Fidelity Clearing Canada’s brokerage clearing and custody services.
Responsibilities
- 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
- 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
- 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
Job title
Job type
Experience level
Salary
Degree requirement
Location requirements
Report this job
Found something wrong with the page? Please let us know by submitting a report below.
Compliance Manager advising Affirm’s consumer card program on U.S. financial regulations. Reviewing card products, marketing, disputes, and remediation for compliant growth.
Compliance Manager owning risk - based advisory for Affirm Card at Affirm, which provides transparent pay - over - time financial products. Reviewing card compliance, remediation, and regulatory requirements.
Sun Life AVP leading strategic programs, innovation, insights and regulatory operations. Integrating governance, modernization, analytics and change across Canadian wealth and insurance businesses.
Senior Compliance Associate strengthening Coinbase Canada's AML, KYC, sanctions, and FINTRAC reporting program. Managing cases, risk assessments, regulatory filings, and compliance automation for cryptocurrency operations.
Regulatory labeling manager overseeing global IMP labeling for Telix’s precision radiopharmaceuticals. Supporting clinical trials and regulatory compliance for cancer and rare - disease treatments.
Quality and compliance specialist overseeing GMP, accreditation, QMS and pharmacovigilance for Shared Health Diagnostic Services in Manitoba. Ensuring regulatory compliance across provincial healthcare sites.
Compliance officer investigating energy - sector violations for British Columbia’s energy regulator. Conducting inspections, enforcement actions, emergency response, and administrative case preparation.
Senior Compliance Consultant strengthening Sun Life’s Canadian disability - management governance and risk controls. Leading audits, risk validation, business continuity, and compliance initiatives for Group Disability.
Regulatory intelligence leader monitoring global rules for Telix Pharmaceuticals, a precision radiopharmaceutical company. Translating regulatory developments into strategies, communications, and cross - functional actions.