Investment Dealer Supervisor

2 months ago

Greater Toronto Area, Canada PLUS500CA LTD. Full time

**Job Overview**
The firm is part of a global multi-asset fintech Group which offers a diverse range of trading products, including OTC products like Contracts for Difference (CFDs), share dealing and futures. The Group has regulated operations in the U.S., Europe and APAC, and caters to millions of customers worldwide.

The Group intends to expand its activities into Canada through the establishment of a local Investment Dealer regulated by the Canadian Investment Regulatory Organization (CIRO). The firm will provide order execution-only services to retail clients in Canada, except Quebec, who trade CFDs.

Based in **Toronto, Canada**, the Investment Dealer Supervisor (“**Supervisor**”)is a licensed role with theresponsibility to supervise the activities of employees and Approved Persons under its authority.

**Duties**
- Comply with relevant CIRO requirements as well as the firm’s policies and procedures; and implement recommendations provided by those performing a compliance function;
- Exercise authority to manage the activities of the firm, its employees and Approved Persons; and provide reasonable assurance they comply with CIRO requirements, securities and derivatives laws, regulations and other applicable laws;
- Take effective and timely remedial action where matters fall or appear to fall outside of the acceptable bounds of conduct, just and equitable principles of trade, good business practice and any applicable rules and regulations;
- Assist the CCO with developing, maintaining and enforcing written supervisory policies and procedures, as well as their timely updates, regarding business and compliance conduct; as well as supervision and compliance communications;
- Supervise the registrable activities of Approved Persons under its authority;
- Carry out designated supervisory responsibilities which include the approval of new accounts and supervision of client account activity; supervision of retail futures contract/futures contract options accounts; and pre-approval of marketing, advertising and sales communications;
- Stay updated on CIRO requirements, securities and derivatives laws, regulations and other applicable laws, industry trends and best practices. Gather intelligence on competitors and their products; and
- Comply with an Approved Person’s obligations to maintain proficiency, participating in ongoing training to receive CE credits under the Continuing Education Rules, and continuously meeting registration requirements and approval conditions.

**Education**
- College Diploma or University Degree (in business or finance preferred)

**Required industry courses**
- Futures Licensing Course (FLC)
- Conduct and Practices Handbook Course (CPH)
- _Either_ Derivatives Fundamentals Course (DFC) _or _ Derivatives Fundamentals and Options Licensing Course (DFOL)
- Canadian Commodity Supervisors Exam (CCSE)
- Investment Dealer Supervisors Course (IDSC)

**Required industry licensing**
- Investment Dealer - Dealing Representative
- CIRO - Investment Representative dealing in futures contracts and futures contract options with retail clients
- CIRO - Supervisor of Investment Representatives dealing with clients in futures contracts and futures contract options

**Experience**
- Minimum of 4 years of relevant experience at an investment dealer or an entity governed by a recognized foreign self-regulatory organization (SRO);
- Previous supervisory experience at a discount broker;
- Broad product knowledge in Equities, Futures, Currencies & Over-The-Counter Derivatives, including Contracts for Difference (CFDs);
- Strong knowledge of CIRO requirements, securities and derivatives laws, and regulations applicable to Equities, Futures, Currencies & CFDs;
- Strong knowledge of margin trading and risks of using leverage;
- Knowledge of back-office functionalities and supervisory procedures;
- Strong time management skills to prioritize workloads and meet service standards;
- Strong attention to detail and ability to recognize risk to the firm;
- Strong communication / interpersonal skills; and
- Strong MS Office proficiency and data processing skills.

Join our dynamic team where your skills will shine, and your contributions will be valued

Pay: $70,000.00-$80,000.00 per year

Schedule:

- Monday to Friday

Work Location: In person

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