Associate, 15c3-3 Compliance Customer Protection - Toronto

Only for registered members Toronto, Canada

3 days ago

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Job summary

The Customer Protection Control team is tasked with providing central governance and oversight of projects, change requests
and transactions which impact Possession and Control (SEA Rule 15c3-3 & CIRO 4311) compliance capabilities of the U.S Broker Dealer (LLC)
and Canadian Broker Dealer (DSI).

This role will call for the performance of daily Compliance monitoring functions,
root cause analysis
, enforcement of best practices,
and management reporting of risk exceptions / operational performance.


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