Trading Conduct Compliance Examiner

3 weeks ago


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

**Position Title: Trading Conduct Compliance Examiner (Bilingual)**
**Department: Trading Conduct Compliance**
**Region: Montreal**
**Status: Permanent Full-time (Hybrid)**
New Self-Regulatory Organization of Canada, a consolidation of IIROC and the MFDA, is a pan-Canadian organization that oversees all investment dealers and trading activity in marketplaces across Canada. This position requires the ability to communicate with employees in New SRO regional offices and other New SRO stakeholders across Canada. Accordingly, proficiency in both official languages of Canada (French and English) is needed.
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. **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. **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. **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.
- Bilingual (English and French)

LI-HYBRID



  • Montréal, QC, Canada CIRO OCRI Full time

    Description Position Title: Business Conduct Compliance Examiner (ID) Department:Business Conduct Compliance Location: Montreal Status:Permanent, Full-time (Hybrid) As a self-regulatory organization, Canadian Investment Regulatory Organization (CIRO) takes our responsibility of setting high-quality regulatory and investment industry standards...


  • Montréal, Canada CIRO OCRI Full time

    **Position Title: Business Conduct Compliance Examiner (ID)** **Department: Business Conduct Compliance** **Location: Montreal** **Status: Permanent, Full-time (Hybrid)** As a self-regulatory organization, Canadian Investment Regulatory Organization (CIRO) takes our responsibility of setting high-quality regulatory and investment industry standards...


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

    **Position Title: Financial and Operations Compliance Examiner** **Department: Financial and Operations Compliance** **Location: Montreal** **Status: Permanent Full-time (Hybrid)** The Examiner is accountable for analyzing and independently verifying the accuracy and completeness of the submitted information by member firms within the context of the...


  • Montréal, QC, Canada Canadian Investment Regulatory Organization Full time

    Description Position Title: Financial and Operations Compliance Examiner (ID) Department:Financial and Operations Compliance Location: Montreal Status:Permanent Full-time (Hybrid) The Examineris accountable for analyzing and independently verifying the accuracy and completeness of the submitted information by member firms within the context of the...


  • Montréal, QC, Canada Groom Associes Full time

    This is a French international banking group and the world's largest cooperative financial institution. Nearly 8,600 employees across Europe, the Americas, Asia-Pacific, the Middle East and North Africa support their clients, meeting their financial needs throughout the world. This bank offers its large corporate and institutional clients a range of...


  • Montréal, Canada Richter Full time

    **Richter Montreal Office** **Overview** Richter is a Business | Family Office that provides strategic advice on business matters and on families’ financial and personal objectives across generations. With close to 100 years of experience advising at the intersection of family and business, Richter has developed an integrated approach to help business...


  • Montréal, Canada Desjardins Full time

    At Desjardins, we believe in equity, diversity and inclusion. We're committed to welcoming, respecting and valuing people for who they are as individuals, learning from their differences, embracing their uniqueness, and providing a positive workplace for all. At Desjardins, we have zero tolerance for discrimination of any kind. We believe our teams should...

  • Slcsi Trade Specialist

    10 hours ago


    Montréal, Canada Sun Life Full time

    You are as unique as your background, experience and point of view. Here, you’ll be encouraged, empowered and challenged to be your best self. You'll work with dynamic colleagues - experts in their fields - who are eager to share their knowledge with you. Your leaders will inspire and help you reach your potential and soar to new heights. Every day, you'll...


  • Montréal, Canada Laurentian Bank Full time

    Seeing beyond numbers **TM** At Laurentian Bank, we believe we can change banking for the better. Founded in Montreal in 1846, Laurentian Bank helps families, businesses and communities thrive. Today, we have over 3,000 employees working together as One Team, to provide a broad range of financial services and advice-based solutions for customers across...


  • Montréal, QC, Canada Canadian Imperial Bank of Commerce Full time

    Analyst, Institutional Client Experience - Bilingual page is loaded Analyst, Institutional Client Experience - Bilingual Apply locations Montréal, QC time type Full time posted on Posted 2 Days Ago job requisition id 2405317 We’re building a relationship-oriented bank for the modern world. The Institutional Asset Management team works closely with...


  • Montréal, Canada Sun Life Full time

    Job Description : This role contributes to the overall Trade Management activities on behalf of the Sun Life Canada Securities Inc. (SLCSI) business. The Trade Support Team is comprised of trade operation professionals committed to supporting the investment process for our advisor and portfolio management network. We are looking for a highly motivated...


  • Montréal, QC, Canada Glencore Full time

    Senior Compliance Officer GLENCORE – Group Compliance Greater Montreal Region Glencore, a major global commodity trading and mining company, is seeking a highly skilled and experienced Senior Compliance Officer to join our team in Montreal, Quebec. The Senior Compliance Officer will be responsible for overseeing and ensuring the companys...


  • Montréal, Canada Kruger Inc. Full time

    *** The Cyber Compliance Analyst is responsible for evaluating, implementing, and maintaining cybersecurity policies, procedures, and controls to ensure compliance with regulatory requirements and industry standards. This role involves conducting assessments, monitoring security systems, and collaborating with internal teams to address compliance gaps and...


  • Montréal, Canada Société Générale Full time

    **Responsibilities**: **ABOUT THE PROGRAM**: If you're into the following challenges: digital, energy transition, diversity/inclusion and you would like to get involved in building the future, you’ve come to the right place! We are looking for team players, invested people who are able to bring ideas and express their opinions. **Are you looking for a...


  • Montréal, QC, Canada Canadian Investment Regulatory Organization Full time

    Financial and Operations Compliance Examiner (ID) Financial and Operations Compliance Permanent Full-time (Hybrid) The Examineris accountable for analyzing and independently verifying the accuracy and completeness of the submitted information by member firms within the context of the regulatory reporting framework. Perform complex field examinations...


  • Montréal, Canada PICTET Full time

    **The programme**: - Pictet Trading & Sales (PTS) provides direct access to global markets, offering bespoke trading solutions across a wide range of asset classes. Our teams of sales traders, IT specialists, strategists and quant analysts are assisted by a full suite of risk and control functions as well as the latest technology.- PTS is looking to hire a...


  • Montréal, Canada CIBC Full time

    We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s right for our clients. At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are...


  • Montréal, Canada SSENSE Full time

    Company Description SSENSE (pronounced [es-uhns]) is a global technology platform operating at the intersection of culture, community, and commerce. Headquartered in Montreal, it features a mix of established and emerging luxury brands across womenswear, menswear, kidswear, and Everything Else. SSENSE has garnered critical acclaim as both an e-commerce...


  • Montréal, Canada SSENSE Full time

    Company Description SSENSE (pronounced [**es**-_uh_ns]) is a global technology platform operating at the intersection of culture, community, and commerce. Headquartered in Montreal, it features a mix of established and emerging luxury brands across womenswear, menswear, kidswear, and Everything ElseTM. SSENSE has garnered critical acclaim as both an...


  • Montréal, Canada SSENSE Full time

    Company Description SSENSE (pronounced [es-uhns]) is a global technology platform operating at the intersection of culture, community, and commerce. Headquartered in Montreal, it features a mix of established and emerging luxury brands across womenswear, menswear, kidswear, and Everything Else. SSENSE has garnered critical acclaim as both an e-commerce...