Trade Floor Supervisor

4 days ago

Toronto, Ontario, Canada CB Canada Full time
Job Title: VP, Trade Floor Supervision

**About the Role:**

CB Canada is seeking a highly skilled and experienced professional to fill the position 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:

  • **Regulatory Compliance:**
    • Ensure that all trade floor operations are in compliance with relevant regulatory requirements, including those related to market risk, credit risk, and operational risk.
    • Develop and implement policies and procedures to ensure ongoing compliance with regulatory requirements.
  • **Risk Management:**
    • Identify and assess potential risks associated with trade floor operations, including market risk, credit risk, and operational risk.
    • Develop and implement strategies to mitigate identified risks and ensure that risk management practices are effective.
  • **Trade Floor Supervision:**
    • Supervise and monitor trade floor operations to ensure that they are conducted in accordance with established policies and procedures.
    • Provide guidance and support to trade floor staff to ensure that they are aware of and comply with regulatory requirements and risk management practices.
  • **Communication and Collaboration:**
    • Communicate effectively with senior management, business leaders, and other stakeholders to ensure that regulatory requirements and risk management practices are understood and implemented.
    • Collaborate with other departments, including compliance, operations, and legal, to ensure that regulatory requirements and risk management practices are aligned.

Requirements:

  • **Professional Certifications:**
    • Hold or be willing to obtain relevant professional certifications, such as IIROC Supervisor Registration and PDO- Partners, Directors & Senior Officers Examination.
  • **Business Experience:**
    • Have a minimum of 5 years of business experience, preferably in a compliance or regulatory function covering a major broker-dealer.
  • **Knowledge and Skills:**
    • Have in-depth knowledge of capital markets products and services, including related functions and responsibilities of support groups and stakeholders.
    • Be knowledgeable of regulatory risks and controls associated with capital markets business activities, including market risk, credit risk, and operational risk.
    • Have strong analytical skills and be able to conceptualize regulatory initiatives and guide those initiatives as daily business requirements.
    • Be able to maintain a clear holistic organizational view of actual and potential regulatory business risks.
    • Have excellent written and oral communication skills and be able to advocate persuasively and negotiate with influence.

Preferred Qualifications:

  • **Former Trading Experience:**
    • Have former trading experience.
  • **Familiarity with Regulatory Environment:**
    • Have familiarity with the regulatory environment.

What We Offer:

CB Canada offers a competitive compensation package, including a salary, benefits, and opportunities for professional growth and development.

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