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Market Compliance Coordinator

2 weeks ago

Montréal, Canada CIRO OCRI Full time

**Position Title: Market Compliance Coordinator**

**Department: Trading Conduct Compliance & Trade Review and Analysis**

**Location: Montreal**

**Status: Permanent, Full-time (Hybrid)**

Reporting to the Director, Trading, the Market Compliance Coordinator is accountable for providing technical and administrative support for the Trading Conduct Compliance (TCC) and Trade Review and Analysis (TR&A) management and staff.

**Key Responsibilities**:

- Administer multiple TCC and TR&A databases to ensure completeness and accuracy of data.
- Source and compile data relevant to TCC reviews using proprietary systems, contacting securities dealers, and accessing public information sources.
- Assist in compiling necessary information for targeted reviews and examinations.
- Source and organize files for external referrals.
- Efficiently compile and finalize Fast Track reports for accurate and timely submission to the commissions.
- Oversee the reporting process to FINRA for Bluesheet requests, ensuring comprehensive and timely submission of required data and documentation.
- Examine and document Dealer Member's Gatekeeper reports within our internal systems for thorough record-keeping and analysis.
- Respond directly to external and internal requests for information.
- Assist with the preparation of memos for internal and external referrals.
- Assist with the development and preparation of operational reports for management.
- Schedule staff meetings and other departmental meetings as needed.
- Maintain distribution lists for the Department.
- Assist with the preparation of general correspondence, presentations, and other confidential documents, as required.
- Prepare monthly, quarterly, and annual reports.
- Maintain Business Continuity Plan (BCP) and call tree as appropriate.
- Support the department nationally in other administrative functions, other duties as required.

**Education and Experience**:

- High School or College degree or diploma.
- At least three (3) years related administrative experience.
- Experience providing support to multiple stakeholders at various management levels.
- Completion of the Canadian Securities Course (CSC) and Trader Training Course (TTC) would be an asset.

**Key Skills and Competencies**:

- Bilingual (English and French)
- Advanced database management skills
- Strong computer skills - Microsoft Word, Excel, PowerPoint, SharePoint
- Knowledge of TeamMate Audit Management software
- Handle multiple assignments
- Strong organizational skills with an ability to proactively seek opportunities to create more effective and efficient administration.
- Strong interpersonal and communication skills
- Excellent spelling, grammar and writing skills
- Attention to detail, accuracy and consistency
- Ability to work independently and in a team environment.
- Familiarity with the various Divisions and Departments within CIRO as to roles and objectives
- Knowledge of the securities industry and its terminology would be an asset

CIRO is committed to employment practices that are inclusive and accessible. Accommodations for individuals with disabilities are available. Should you require accommodation, please contact Human Resources.

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