Director, Trading Conduct Compliance

2 weeks ago

Old Toronto, Canada Canadian Investment Regulatory Organization Full time

40 Temperance Street
Suite 2600
Toronto, ON M5H0B4, CAN

Description

Position Title: Director, Trading Conduct Compliance

Department: Human Resources and Organizational Effectiveness

Location: Toronto

Status: Permanent Full-time (Hybrid)

The Director of Trading Conduct Compliance (TCC) will lead our Toronto team, and in collaboration with other regional directors, lead the national TCC program in ensuring the integrity and compliance of trading activities of CIRO dealer members through the timely and risk-based execution of our examination program. This pivotal role is responsible for the oversight of trade desk review programs, ensuring compliance with industry regulations, and contributing significantly to the Market Regulation Division's operational objectives.

Key Responsibilities:

  • Direct and oversee the TCC team to ensure efficient monitoring of trading records, processes, procedures, and supervision. This includes identifying and assessing potential violations of the Universal Market Integrity Rules (UMIR) and trading- related Investment Dealer and Partially Consolidated Rules (IDPC) requirements.
  • Regularly update the content of review modules, TCC policies and procedures, adapting to changes in regulatory standards and market practices.
  • Engage with both internal and external stakeholders, including regulatory bodies and market participants, to enhance the effectiveness and responsiveness of the Market Regulation Department and CIRO.
  • Lead the department towards achieving its operational goals by managing and developing team members effectively, fostering a culture of excellence and continuous improvement.
  • Collaborating closely with other regional Directors to achieve national consistency within TCC and across compliance areas.

Education and Experience:

  • Bachelor's degree required, preferably in Finance, Economics, or a related field.
  • A minimum of 5 years of securities industry experience, with a strong preference for candidates with senior-level expertise in compliance.
  • A deep understanding of Canadian capital markets and proven track record dealing with complex trading issues and trade desk compliance.
  • Demonstrated leadership in managing a compliance or regulatory team.

Key Skills and Competencies:

  • In-depth knowledge of CIRO’s policies and procedures, especially as they relate to the trading function.
  • Exceptional oral and written communication skills, with the ability to convey complex information clearly and persuasively.
  • Proven ability to manage tight deadlines and work under pressure in diverse environments.
  • Strong leadership qualities, including sound judgment, the ability to inspire and develop others, and a commitment to ethical conduct.
  • Broad understanding of the functions and interrelations among various CIRO departments, enabling efficient sourcing of information and advice.
  • Comprehensive knowledge of the equity transaction process, including trading and back-office systems and technologies.
  • Knowledge of securities industry rules and regulations including CIRO rules and securities law, and a commitment to staying abreast of changes and advancements.
  • A motivated individual who is eager to make a difference and is willing to challenge the status quo.
  • Knowledge of crypto, derivatives, and debt trading is a significant asset.

While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted.

CIRO is committed to employment practices that are inclusive and accessible. Accommodations for individuals with disabilities are available. Should you require accommodation, please contact Human Resources.

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