Regulatory Risk Advisor

7 days ago


Toronto, Ontario, Canada The Mason Group Inc Full time

We are seeking a Regulatory Risk Advisor to join our team at The Mason Group Inc. As a Regulatory Risk Advisor, you will play a critical role in ensuring compliance with CIRO requirements and securities regulations.

Responsibilities
  • Ensure compliance with CIRO requirements, securities laws, and firm policies
  • Supervise firm activities, employees, and Approved Persons to ensure adherence to regulatory standards
  • Take timely corrective action on issues outside acceptable conduct or regulatory bounds
  • Assist in developing and maintaining supervisory policies and procedures
  • Supervise the activities of Approved Persons, including account approvals and client activity monitoring
  • Oversee retail futures and options accounts and pre-approve marketing and sales communications
Requirements
  • College Diploma or University Degree (in business or finance preferred)
  • 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)
  • 4+ years of relevant experience at an investment dealer or an entity governed by a recognized foreign self-regulatory organization
  • Supervisory experience at a discount broker
  • 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


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