VP, Trade Floor Supervision

Found in: Talent CA 2 C2 - 6 days ago


Toronto, Canada CB Canada Full time

VP, Trade Floor Supervision

On behalf of our client in the Banking Sector, PROCOM is looking for a VP, Trade Floor Supervision.

VP, Trade Floor Supervision – Job Description

  • The Vice President, Trade Supervision will have responsibility for Capital Markets Trade Floor Supervision

  • In this role, the Vice President will work closely with the LOB (Lines of Business), primarily supporting the FICC (Fixed Income, Currencies & Commodities) businesses, to assess, analyze, update regulatory matters and ensure appropriate controls are in place to mitigate risk and increase the potential for revenue

VP, Trade Floor Supervision – Mandatory Skills

  • Professional certifications are required and\or must be obtained-IIROC Supervisor Registration, PDO- Partners, Directors & Senior Officers Examination

  • 5+ years of business experience or experience in a Compliance or Regulatory function covering a major Broker-Dealer

  • In-depth knowledge of Capital Markets products and services including related functions and responsibilities of support groups and stakeholders (e.g., Compliance, Operations, Legal, . etc.)

  • Knowledgeable of the various regulatory risks and controls associated with Capital Markets business activities, including market risk, credit risk, operational risk

  • Knowledgeable regarding Capital Markets structure, infrastructure, products, services and technology

  • Strong understanding of current and horizonal issues of the regulatory industry

  • Exceptional analytical skills

  • Proven ability to conceptualize regulatory initiatives and to guide those initiatives as daily business requirements for the group

  • Maintain a clear holistic organizational view of actual and potential regulatory business risks

  • Ability to advocate persuasively and to negotiate with influence on effect change in areas without direct reporting status to the incumbent

  • Highly developed written and oral communication skills

  • Proficiency in communicating policies and procedures in a clear and concise manner

  • Expertise in computer applications and database management tools including, but not limited to, MS Excel and MS Word, Actimize and a proficiency in MS PowerPoint would be a plus

  • Exceptional ability to independently manage multiple priorities and to proactively service multiple clients in a fast-paced environment

  • Ability to work independently to support achievement of Capital Markets business management objectives and work a demanding schedule under limited supervision

  • Excellent attention to detail and ability to learn and adapt quickly

  • Ability to recognize material differences between planned execution and actual practice

VP, Trade Floor Supervision - Nice to Have Skills

  • Former trading experience

  • Familiarity with regulatory environment

VP, Trade Floor Supervision - Assignment Start Date

ASAP – 12 months to start

VP, Trade Floor Supervision - Assignment Location

Toronto, ON – Work Onsite


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