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Compliance Officer

6 months ago

Toronto, Canada Independent Trading Group (ITG) Inc. Full time

**Position Title**: Compliance Officer

**Location**: Toronto

**Status**:Permanent, Full-time

**Position Overview**: As a Compliance Officer in the capital markets industry, your primary responsibility will be to assist and support the compliance team in ensuring that the organization operates within the legal and regulatory frameworks. You will play a crucial role in promoting and maintaining a strong compliance culture within the company. You will work closely with senior compliance officers to monitor and assess risks, implement controls and provide guidance to various departments on regulatory matters.

**Key Responsibilities**:
**1. Supervision of Options and Futures Trading**:

- Must be able to be immediately licensed with CIRO and have successfully completed the applicable courses

**2. Compliance Monitoring and Reporting**:

- Assist in monitoring the company's compliance with relevant laws, regulations, and internal policies.
- Conduct periodic reviews and assessments to identify compliance issues and risks.

**3. Regulatory Research and Analysis**:

- Stay updated on new and existing regulations, industry best practices, and emerging compliance trends.
- Conduct research and analysis on regulatory requirements to ensure the company's adherence.

**4. Compliance Training and Awareness**:

- Assist in promoting a strong compliance culture by raising awareness of compliance obligations.
- Provide guidance to employees on compliance-related issues and inquiries.

**5. Compliance Documentation and Record-keeping**:

- Maintain accurate and organized compliance records, including policies, procedures and reports.
- Assist in the development and implementation of compliance-related documentation.
- Ensure documentation is up-to-date, accessible, and in line with regulatory requirements.

**6. Internal Controls and Risk Assessments**:

- Assist in conducting internal audits and reviews to evaluate the effectiveness of controls.
- Participate in the design and implementation of compliance risk management strategies.

**7. Compliance Incident Management**:

- Support the investigation and resolution of compliance-related incidents or breaches.
- Assist in developing corrective action plans and monitoring their implementation.
- Maintain incident tracking logs and provide reports on the status of investigations.

**Skills and Qualifications**:

- Bachelor's degree in finance, business, law, or a related field.
- Knowledge of financial regulations and industry best practices.
- Strong analytical and problem-solving skills.
- Excellent attention to detail and organizational abilities.
- Good communication and interpersonal skills.
- Ability to work effectively both independently and as part of a team.
- Familiarity with PositionWatch, OneTick and NRD would be considered an asset.

Pay: $75,000.00-$95,000.00 per year

**Benefits**:

- Dental care

Schedule:

- Monday to Friday

Work Location: Hybrid remote in Toronto, ON M5E 1G4