Vice President of Trade Oversight

3 weeks ago

Toronto, Ontario, Canada CB Canada Full time

Vice President of Trade Oversight

CB Canada is seeking a Vice President of Trade Oversight to enhance our Capital Markets operations.

Role Overview

  • The Vice President will oversee Trade Oversight within the Capital Markets sector.
  • This position requires collaboration with various Lines of Business, particularly within the Fixed Income, Currencies & Commodities sectors, to evaluate and address regulatory concerns while ensuring robust controls are established to mitigate risks and optimize revenue potential.

Key Responsibilities

  • Maintain necessary professional certifications, including IIROC Supervisor Registration and PDO- Partners, Directors & Senior Officers Examination.
  • Possess over 5 years of experience in a business or Compliance/Regulatory role within a significant Broker-Dealer.
  • Demonstrate comprehensive knowledge of Capital Markets products and services, along with the responsibilities of associated support teams and stakeholders.
  • Understand various regulatory risks and controls related to Capital Markets activities, including market, credit, and operational risks.
  • Be knowledgeable about the structure, infrastructure, products, services, and technology within Capital Markets.
  • Stay informed on current and emerging issues in the regulatory landscape.
  • Exhibit exceptional analytical capabilities.
  • Effectively conceptualize regulatory initiatives and integrate them into daily operational requirements.
  • Maintain a comprehensive view of existing and potential regulatory risks.
  • Advocate persuasively and negotiate effectively to influence change in areas without direct authority.
  • Possess advanced written and verbal communication skills.
  • Communicate policies and procedures clearly and concisely.
  • Be proficient in computer applications and database management tools, including MS Excel, MS Word, and Actimize; proficiency in MS PowerPoint is advantageous.
  • Manage multiple priorities independently and provide proactive service to various clients in a dynamic environment.
  • Work autonomously to support the objectives of Capital Markets management while adhering to a demanding schedule.
  • Display excellent attention to detail and a quick adaptability to new information.
  • Recognize significant discrepancies between planned actions and actual practices.

Preferred Qualifications

  • Previous trading experience is advantageous.
  • Familiarity with the regulatory environment is beneficial.

Work Arrangement

This position requires onsite presence.

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