Capital Markets Trade Floor Supervisor

9 hours ago

Toronto, Ontario, Canada CB Canada Full time
{"title": "VP, Trade Floor Supervision", "description": "Job Summary

CB Canada is seeking a highly skilled VP, Trade Floor Supervision to join our team. As a key member of our Capital Markets business, you will be responsible for ensuring the effective supervision of trade floor activities, ensuring compliance with regulatory requirements, and mitigating risk.

Key Responsibilities
  • Develop and implement effective trade floor supervision strategies to ensure compliance with regulatory requirements.
  • Collaborate with the LOB to assess, analyze, and update regulatory matters, ensuring appropriate controls are in place to mitigate risk and increase revenue.
  • Provide guidance and support to the trade floor team on regulatory matters, ensuring they have the necessary knowledge and skills to perform their duties effectively.
  • Identify and mitigate potential risks and issues, ensuring the trade floor operates in a compliant and efficient manner.
Requirements
  • Professional certifications, such as IIROC Supervisor Registration, are required.
  • 5+ years of business experience or experience in a Compliance or Regulatory function covering a major Broker-Dealer.
  • In-depth knowledge of Capital Markets products and services, including related functions and responsibilities of support groups and stakeholders.
  • Knowledgeable of the various regulatory risks and controls associated with Capital Markets business activities, including market risk, credit risk, operational risk.
  • Strong analytical skills and ability to conceptualize regulatory initiatives.
  • Excellent communication and interpersonal skills, with the ability to negotiate and influence effectively.
Preferred Qualifications
  • Former trading experience.
  • Familiarity with the regulatory environment.
What We Offer

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

", "lang_code": "en-US"}

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