Investment Dealer Supervisor

2 weeks ago

Toronto, Canada Admiral Markets Full time

Admiral Markets Canada Limited ("Admirals Canada") is a registered investment dealer, Member of the Investment Industry Regulatory Organization of Canada (IIROC) and Canadian Investor Protection Fund (CIPF). We are a member of Admirals Group AS.

The firm is an order-execution-only (OEO) dealer in "contracts for difference" and over-the-counter (OTC) foreign exchange contracts (collectively, CFDs) with retail investors in B.C. and Ontario.

As a financial services Group Admiral has been operating successfully for 22 years and has been on the top of trust of traders and investors. Its is a multiregulated company with several licenses across the globe.

**Your Role**
- IIROC Approval Category_: Supervisor of Investment Representatives dealing with clients in futures contracts and futures contract options

**Your Responsibilities**
- As** Supervisor**,you will:

- supervise the Investment Representatives at Admirals Canada dealing with clients in CFDs;
- manage the day-to-day activities of other employees and Approved Persons to ensure their compliance with all applicable rules and regulations; and
- take effective and timely remedial action where account activity or any other matter under supervision falls or appears to fall outside the bounds of conduct, just and equitable principles of trade or good business practice or violates of any applicable rules and regulations.
- As **Designated Supervisor**, you are designated to carry out a supervisory role defined in the IIROCrequirements, with the responsibility to:

- open new accounts and supervise client account activity;
- supervise CFD accounts; and
- pre-approve advertising, sales literature and correspondence.

**Requirements**:
**Proficiency Requirement**

Successful completion of the following courses:

- Canadian Commodity Supervisors Exam;
- Futures Licensing Course;
- Conduct and Practices Handbook Course;
**_and_**:

- Derivatives Fundamentals Course; **_or_**:

- Derivatives Fundamentals and Options Licensing Course; **_or_**:

- Investment Dealer Supervisors Course

Series 3 Examination administered by the Financial Industry Regulatory Authority;
**_and_**

**Experience Requirement**
- Undergraduate degree or equivalent (background in brokerage operations, finance, compliance, or audit).
- Extensive working knowledge of Canadian securities laws and regulatory requirements, including National and Multilateral Instruments, provincial Securities Acts_,_ OSC Regulations, and IIROC Rules and Guidance.
- Extensive working knowledge of the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) and its Regulations, FINTRAC AML/ATF Regime, Canada's privacy laws and Canada's anti-spam legislation that impact the business.
- Extensive working knowledge of exchange and over-the-counter derivatives, US and EU listed equities, indices, commodities, currencies, bonds and trading on margin.
- 5+ years of experience working as a Registrant or Approved Person at an investment dealer, with direct responsibility for supervising Registered or Investment Representatives, or supporting a compliance program and carrying out supervisory procedures.
- Experience with handling inquiries and requests for documents from regulators and auditors during compliance examinations, audits and investigations.
- Experience with the supervision of client account activity by daily reports and monthly reviews, monitoring the interaction of Investment Representatives with clients, and conducting surveillance of activities on the firm's trading platform to ensure the effectiveness of the compliance program.
- Self-driven with exceptional analytical and problem-solving skills, high level of attention to detail; able to work extended hours, manage multiple complex projects simultaneously, collaborate with teams across time zones and remain composed under pressure.
- Excellent written and oral communication skills with a proven track record of effectively responding to regulator's requests, remote supervision of employees, Approved persons and business activities; and reporting to the Chief Compliance Officer and Ultimate Designated Person.
- Positive influence and energetic motivation of employees and Approved persons under supervision.

**Benefits**
- Experience working in a public multiregulated financial hub with 22 years successful operations which ultimately offers you stability in a constantly volatile employment market
- Competitive benefits and remuneration package and regular performance review
- Fantastic team initiatives
- Working flexibility and opportunities to relocate to different offices hubs
- Relocation assistance for employees joining us from different countries
- Strategic career advancement within the group
- A working environment which encourages and cares about personal and professional growth as well as employee well being

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