Capital Markets Compliance Specialist
1 week ago
CB Canada is seeking a highly skilled Capital Markets Compliance Advisor to support our client in the Banking Sector.
Key Responsibilities:
- Provide expert support to the FICC team, focusing on transaction reporting (MTRS and OTC Derivatives)
- Conduct a review of market access controls for Futures for MX and Commodities (US access)
- Map transaction reporting systems in Canada and identify areas for improvement
- Advise management on potential issues and recommend courses of action
- Develop and maintain procedures for reviewing system change reviews and their impact on controls
- Assess and communicate new or amended regulatory requirements and conduct impact assessments
Requirements:
- University degree in business, finance, economics, or a related field
- Completion of the Canadian Securities Course and Conduct and Practices Handbook Exam
- 3+ years of progressive Compliance or related experience
- Relevant work experience within a broker dealer, ideally in Capital Markets (front, mid, back office)
- Proficiency in Microsoft Office for project management and daily tasks
Work Arrangements:
Hybrid work arrangement in Toronto, ON
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