Essential Functions

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, including the main...