Capital Markets Compliance Specialist

1 week ago


Toronto, Ontario, Canada CB Canada Full time
Capital Markets Compliance Advisor

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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