Team Lead, Trading Conduct Compliance

Description

iA Private Wealth Inc. (iAPW) / Compliance Department (Trade Conduct Compliance) / Montreal , Quebec or Toronto/ Start as soon as possible / Hybrid

The Team Lead for the Trading Compliance department at iA Private Wealth plays a pivotal role by ensuring that supervision and compliance standards are met across trading activities. This leadership position entails actively monitoring and reviewing trades, ensuring strict adherence to regulatory requirements, and spearheading the development and robust implementation of compliance processes.

The Team Lead will be responsible for coaching, guiding, and dispatching tasks across the team, fostering a culture of accountability and ownership. An essential aspect of the role involves instilling a strong sense of collaborative teamwork among team members, effectively promoting open communication and feedback while inspiring peak performance.

The position requires a strong emphasis on effective decision-making, proactive conflict resolution, and fostering an environment conducive to the professional development and growth of individual team members. The Team Lead must exhibit a keen ability to plan and organize effectively while advocating for a positive and inclusive team culture. Collaboration with other departments will be crucial to achieving mutual objectives. Above all, the role demands exemplary analytical skills and a meticulous attention to detail.

Key Responsibilities:

• Lead and oversee a professional team consisting of Compliance Officers, Analysts, and periodically Interns.
• Efficiently delegating tasks across the team to achieve timely and accurate deliverables.
• Utilize broad knowledge of compliance disciplines to monitor and review trading activities, ensuring alignment with industry regulations and company policies.
• Assist in the development and implementation of compliance policies and procedures.
• Provide regular reports on compliance matters and trade surveillance findings to the Manager.
• Understand key business factors and apply this knowledge to identify potential compliance risks and issues in trading operations.
• Offer guidance and advice to new team members, sharing expertise and best practices in trade conduct compliance.
• Contribute to team training and development initiatives related to compliance.
• Resolve routine compliance problems by analyzing possible solutions based on technical experience, judgment, and precedents.
• Collaborate with the team to identify and address regulatory changes and operational challenges.
• Communicate complex compliance information effectively to team members and other departments in everyday situations.
• Participate in compliance projects and initiatives, applying expanding capabilities and knowledge in the field.
• Engage in continuous learning to stay updated on regulatory changes and best practices in trade conduct compliance.
  
  

Education/Work Experience/Designations

• Minimum 5 years of experience of relevant experience within the investment industry, especially in trading surveillance.
• University Degree or a College Diploma preferable in Finance, Economics, Accounting or similar disciplines
• Knowledge of equity, fixed income, and foreign exchange transaction processes.
• Proficient in MS Office (Outlook, Word, Access, Excel, PowerPoint)
• Excellent analytical, problem-solving, and communication skills.
• Proficient in the use compliance monitoring systems.
• Completed courses: Canadian Securities Course or CFA Level 1, Conduct and Practices Handbook Course and Investment Dealer Supervisors Course
• Advanced knowledge of English as the person will be required to communicate daily with internal stakeholders and English-speaking representatives across Canada via e-mails and calls.
• Excellent written and verbal communication skills.
• Strong organizational skills
• Strong judgment and critical thinking skills
• Strong knowledge of the securities regulatory landscape (CIRO, CSA)