Trading Conduct Compliance Examiner

4 days ago

Toronto, Canada Investment Industry Regulatory Organization of Canada (IIROC) Full time

**Position Title: Trading Conduct Compliance Examiner**
**Department: Trading Conduct Compliance**
**Region: Toronto**
**Status: Permanent Full-time (Hybrid)**
Examine Dealer Members’ processes, procedures and supervision for their compliance with trading related Requirements as defined in the Universal Market Integrity Rules (UMIR) and the Dealer Member Rules (DMR). In addition, the examiner will participate in the review of trading related aspects of fixed income and OTC products.
**Key Responsibilities**:
The key activities include:
**1. **80% - Field Work**
- Conduct reviews of Dealer Members’ equity trading records, procedures and policies for compliance with securities industry rules and regulations
- Conduct reviews of Dealer Members’ fixed income, OTC equity and derivatives procedures and policies
- Analyze results of reviews
- Prepare reports for IIROC management and Dealer Members about review results and analysis;
- Advise Dealer Members of review results
- Evaluate compliance with trading related requirements (UMIR and DMR as applicable) and ensure identified deficiencies are addressed and where necessary, assist in the preparation of referrals to Investigations and Enforcement.

*
2. **10% - Sharing Best Practices**
- Advise Dealer Members of issues found in reviews and key industry concerns
- Advise and support Dealer Members with effective methods to improve processes and resolve deficiencies
- Respond to compliance related inquiries from Dealer Members.

*
3. **10% - Special Projects**
- Work on projects and industry studies
- Prepare and deliver presentations to industry about compliance issues.

*
Education/Experience: *
- 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
- Minimum of five years working in the securities industry experience, preferably in a compliance or trade desk function at a Participant

*
Key Skills and Competencies: *
- Comprehensive understanding of equity and fixed income transaction process, trading, and back office systems
- Knowledge of securities industry rules and regulations
- Ability to organize and to work without supervision
- Ability to work inter-dependently in a team environment
- Ability to work in a cross-functional environment
- Strong project management, delegation, and conflict resolution skills
- Excellent verbal and written communication skills, including some public speaking
- Some travel is required
- Previous experience on a Canadian equity buy-side or sell-side trading desk or trading compliance is an asset.
- Proficiency in French is an asset
- #LI-HYBRID

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