Compliance Manager FCC

Job Summary

The Compliance Manager (Trade Compliance) reports to the Manager, Trade Compliance and plays a key role in supporting and managing the daily operations of the Trade Surveillance program and Trade Desk Supervision. This hybrid role requires Canada work authorization and involves frequent travel to Toronto or Mississauga office.

Key Responsibilities

• Manage daily trade surveillance activities, including detection, investigation and reporting of potential market abuses.
• Oversee the use of surveillance tools such as SteelEye and support system enhancements.
• Maintain and improve control testing protocols, and develop metrics for periodic review.
• Assist with trade desk supervision, limit change framework, and order marker reviews.
• Lead pre‑trade risk controls across trading platforms and monitor limit breaches.
• Develop, implement and update internal policies and procedures in response to regulatory ch...