Risk Management Specialist
1 week ago
This is an exciting opportunity to join Options Consulting Solutions as a Risk Management Specialist in our downtown Toronto office.
Company OverviewOur client is an investment firm with a strong reputation for navigating the market and delivering exceptional service to clients.
Job DescriptionThe successful candidate will be responsible for ensuring the firm's operations comply with relevant securities laws, industry regulations, and financial standards. This includes conducting detailed market conduct reviews, monitoring trading activities, and implementing compliance protocols to identify and address potential regulatory violations or market abuse.
In this role, you will work closely with various departments to provide guidance, implement compliance protocols, and monitor activities that may pose potential compliance risks. You will also assist with regulatory examinations, audits, and inquiries, and act as a key point of contact with regulatory bodies.
Key responsibilities include:
- Ensuring the firm's operations comply with relevant securities laws, industry regulations, and financial standards
- Conducting detailed market conduct reviews, including assessments of trade practices and compliance with Universal Market Integrity Rules (UMIR)
- Monitoring and analyzing trading activities to identify potential regulatory violations or market abuse
- Implementing and maintaining the firm's risk management framework to ensure all risks are identified, assessed, and appropriately mitigated
- Developing, updating, and enforcing compliance policies and procedures to align with evolving regulations and industry standards
To succeed in this role, you will need:
- 6+ years of compliance leadership experience within the securities, investment, or financial services industry
- Strong expertise in market conduct review, trade conduct, and UMIR
- In-depth understanding of securities regulations, including IIROC, OSC, CSA, and other regulatory frameworks
- Excellent analytical and problem-solving skills with keen attention to detail
- Proven ability to assess complex regulatory frameworks and deliver practical, business-aligned solutions
We offer a competitive compensation package, including salary up to $120K, extensive health benefits, and an exciting, fast-paced work environment.
We are committed to fostering a culture of diversity, equity, and inclusion, and welcome applications from all individuals.
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