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Trade Floor Supervisor

2 months ago


Toronto, Ontario, Canada CB Canada Full time

Job Title: VP, Trade Floor Supervision

Job Summary:

CB Canada is seeking a highly skilled and experienced professional to fill the role of VP, Trade Floor Supervision. As a key member of our team, you will be responsible for ensuring the effective supervision of our trade floor operations, ensuring compliance with regulatory requirements and mitigating risk.

Key Responsibilities:

  • Supervise and monitor trade floor activities to ensure compliance with regulatory requirements and company policies.
  • Develop and implement effective risk management strategies to mitigate potential risks and ensure the integrity of our trade floor operations.
  • Collaborate with our Lines of Business (LOB) teams to assess and analyze regulatory matters, ensuring that appropriate controls are in place to mitigate risk and increase revenue.
  • Provide guidance and support to our LOB teams on regulatory matters, ensuring that they are aware of and comply with all relevant regulations.
  • Develop and maintain relationships with regulatory bodies and industry associations to stay up-to-date on regulatory developments and best practices.
  • Conduct regular audits and reviews to ensure that our trade floor operations are in compliance with regulatory requirements and company policies.
  • Identify and implement process improvements to enhance the efficiency and effectiveness of our trade floor operations.

Requirements:

  • Professional certifications such as IIROC Supervisor Registration and PDO- Partners, Directors & Senior Officers Examination.
  • 5+ years of business experience or experience in a Compliance or Regulatory function covering a major Broker-Dealer.
  • In-depth knowledge of Capital Markets products and services, including related functions and responsibilities of support groups and stakeholders.
  • Knowledgeable of the various regulatory risks and controls associated with Capital Markets business activities, including market risk, credit risk, operational risk.
  • Knowledgeable regarding Capital Markets structure, infrastructure, products, services, and technology.
  • Strong understanding of current and horizonal issues of the regulatory industry.
  • Exceptional analytical skills.
  • Proven ability to conceptualize regulatory initiatives and to guide those initiatives as daily business requirements for the group.
  • Maintain a clear holistic organizational view of actual and potential regulatory business risks.
  • Ability to advocate persuasively and to negotiate with influence on effect change in areas without direct reporting status to the incumbent.
  • Highly developed written and oral communication skills.
  • Proficiency in communicating policies and procedures in a clear and concise manner.
  • Expertise in computer applications and database management tools, including MS Excel, MS Word, Actimize, and MS PowerPoint.
  • Exceptional ability to independently manage multiple priorities and to proactively service multiple clients in a fast-paced environment.
  • Ability to work independently to support achievement of Capital Markets business management objectives and work a demanding schedule under limited supervision.
  • Excellent attention to detail and ability to learn and adapt quickly.
  • Ability to recognize material differences between planned execution and actual practice.

Nice to Have Skills:

  • Former trading experience.
  • Familiarity with regulatory environment.

Assignment Details:

Assignment Location: Toronto, ON

Assignment Type: Onsite