Manager, Trading Conduct Compliance

5 days ago

Old Toronto, Canada Canadian Investment Regulatory Organization Full time

40 Temperance Street
Suite 2600
Toronto, ON M5H0B4, CAN

Description

Position Title: Manager, Trading Conduct Compliance (ID)

Department: Trading Conduct Compliance

Location: Toronto

Status: Permanent Full-time (Hybrid)

The Manager will assist the Directors in providing leadership to a team of Trading Conduct Compliance examiners. The role of Trading Conduct Compliance is to examine Dealer Members systems for supervising trading and to conduct reviews of Alternative Trading Systems.

Key Responsibilities:

  • Ensure efficient and effective conduct of field reviews by ensuring that review modules and procedures are thorough and efficient, and that changes to requirements are incorporated and communicated to the team on a timely basis;
  • Ensure effective preliminary assessments of dealers conducted to determine scope of review and areas of principle risk;
  • Review reports of deficiencies found and required corrective actions with dealers;
  • Advise and support dealers about effective methods to improve processes and resolve deficiencies;
  • Make recommendations for referrals to Investigations and/or Enforcement;
  • Review new member applications and dealer transactions for compliance with established requirements;
  • Oversee the development, training, and mentoring of TCC staff;
  • Ensure department objectives are met through effective performance management;
  • Support the Directors of Trading Conduct Compliance with the operation of the department;
  • Prepare and deliver presentations to industry about compliance issues.

Education and Experience:

  • Minimum of five years working in the securities industry;
  • Comprehensive understanding of the equity transaction process, trading, and back office systems;
  • Intimate knowledge of a dealer’s operations (systems, procedures, policies, etc.).
  • Knowledge of UMIR, securities industry rules and regulations;
  • Previous experience on a Canadian equity buy-side or sell-side trading desk or trading compliance is an asset;
  • Successful completion of the Canadian Securities Course, Conduct and Practices Handbook;
  • Successful completion of Traders Training Course; or Partners, Directors, Officers or other compliance level exams are assets;
  • Experience in an audit/review role;
  • Knowledge of management practices;
  • Familiarity with EDW and TeamMate is an asset.

Key Skills and Competencies:

  • A proven commitment to teamwork and ability to lead audits with a national team of examiners
  • Thorough understanding of CIRO policies and procedures that pertain to the examination of the trading function in Participants;
  • Good understanding of the various departments in CIRO to be able to efficiently source information and advice;
  • Strong project management, delegation, and conflict resolution skills;
  • Excellent verbal and written communication skills, including some public speaking;
  • Ability to work independently on projects and industry studies as directed and appropriate
  • Ability to speak French would be an 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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