Job Description
- Maintain and oversee the operational framework supporting a Type 2 and Type 3 Introducing Broker model, ensuring clear segregation of responsibilities between the firm and its carrying broker (Fidelity Clearing Canada), and adherence to all CIRO regulatory requirements.
- Establish and maintain effective working relationships with key third-party service providers, including Fidelity Clearing Canada, d1g1t, and Future Vault, ensuring service delivery aligns with contractual obligations, regulatory expectations, and internal control standards.
- Oversee back-office operations to ensure the accurate and timely processing in accordance with CIRO rules and applicable securities regulations.
- Ensure the integrity and completeness of books and records maintained by the firm, including oversight of data reconciliation, exception management, and alignment with records maintained by the carrying broker.
- Ensure adherence to CIRO regulatory requirements, ...