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Job Summary
Job Description
What is the opportunity?
As Associate Director (AD), you are responsible for Capital Markets Compliance for the Global Equity Sales and Trading, Global Equity Derivatives, and the Wealth Management Agency desks.
As a subject matter expert in equity and equity related products, you will be responsible to provide compliance guidance and expertise on regulatory requirements. Conduct monitoring, update/socialize Capital Market Policies administered by the Capital Markets Advisory team. Additionally, you will support and oversee the Regulatory Compliance Management (RCM) compliance programs in Canada (Coverage Areas) with respect to market and business conduct compliance.
What will you do?
- Supporting the Director in relationship management with equity and equity related products (Equity Derivatives and Structured Products).
- Execute in support of the Director in the RCM responsibilities.
- Assist in regulatory inquiries, examinations, and reporting responses.
- Assist in the development of compliance programs with respect to equity and equity related products including maintenance of policies and procedures.
- Conduct periodic monitoring reviews to ensure the covered subject business is in compliance with applicable regulations and policies.
- Identify potential areas of risk (financial, reputational, and regulatory), make recommendations with regards to courses of action. Execute any resulting projects as required.
- Assist in developing quarterly trade desk reviews and the completion of quarterly compliance reports.
- In response to external (regulators) or internal audit issues develop, execute action plans dedicated to making appropriate modifications to correct the issue(s).
- Annual and ad hoc trainings.
- Perform back-up duties for the Director, Capital Markets Compliance, Equity and Equity Related Products
- Ad hoc assignments as assigned.
What do you need to succeed?
Must-have
- 5+ years of Capital Markets Compliance experience or equivalent experience with a Regulator.
- Completion of the Canadian Securities Course (CSC), Traders Training Course (TTC) and Conduct and Practices Handbook (CPH) Exams.
- Strong knowledge of CIRO Universal Market Integrity Rules (UMIR) and Rules of the Montreal Exchange is an asset.
- University degree in business, finance, economics.
- Strong presentation skills in a group setting.
- Ability to work in a fast-paced environment with tight deadlines. Organize and prioritize an unpredictable workload.
What's in it for you?
We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.
- Leaders who support your development through coaching and managing opportunities.
- Ability to make a difference and lasting impact.
- Work in an agile, collaborative, progressive, and high-performing team.
- The opportunity to interface with senior level executives from many different parts of the organization.
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nclusion
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