Associate Director | Capital Markets Compliance Advisory

An organization are seeking an Associate Director | Capital Markets Compliance Advisory

What is the opportunity?

As an Associate Director (AD), you will be part of the Compliance Advisory Team. The team is responsible for implementing and maintaining compliance programs and processes across the businesses in Canada, within the context of the Enterprise Compliance Management Framework.

You will be providing monitoring and compliance advisory support to Fixed Income sales and trading desks. You will be responsible for providing ongoing advice to the business on the impact of regulatory and internal change, as they occur, and to provide support for day-to-day inquiries. You will be conducting monitoring activities, updating/socializing Capital Market Policies administered by the Capital Markets Advisory team. Additionally, you will support and oversee the Regulatory Compliance Management (RCM) compliance programs in Canada (“Coverage Areas”) with respect to market and business conduct compliance. You will be participating in external or industry working groups as needed. You will also participate in internal working groups for any “requests for comments” as received from Canadian regulators where appropriate.

You will be working closely with other Compliance Advisory colleagues and provide back up support to the following lines of businesses: Central Funding, Treasury Services and Markets Services.

What will you do?

• Support the Fixed Income Sales and Trading group on their day-to-day queries.
• Work closely with trade supervision and surveillance team to build a robust compliance program.
• Work closely with other regional compliance teams on any Cross Border related activities specially where there is registration requirement to perform that activity.
• Assist in regulatory inquiries, examinations, and reporting responses.
• Lead the development of compliance programs with respect to mandated lines of businesses (LOBs) including maintenance of policies and procedures.
• Conduct periodic monitoring reviews to ensure the covered subject businesses comply with applicable regulations and policies.
• Provide compliance oversight for new business initiatives.
• Perform impact assessment for the coverage lines of business with respect to new regulations or regulatory updates.
• Provide annual and ad hoc trainings.
• Provide support to other colleagues as part of cross functional training in the team.
  
  
  

What do you need to succeed?

Must-have

• 4+ years of related experience in a financial institution and/or regulated securities dealer/and or securities regulatory body.
• Strong familiarity with Global Markets businesses and asset classes.
• Experience in covering Fixed Income desks like Credit or Rates or Repo from compliance advisory or from front office trading supervision perspective.
• Knowledge of regulatory and compliance requirements. (Eg. CIRO IDPC & UMIR, Montreal Exchange Rules, CSA National Instruments)
• Strong communication and presentation skills in a group setting
• Ability to work in a fast-paced environment with tight deadlines.
• University degree.
  
  
  

Nice-to-have

• Fixed Income trading experience.
• Completion of CSC, CPH course.
• CFA Charter holder or pursuing CFA Charter.
  
  
  

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