Associate, Customer Protection - Toronto, ON MW A
2 weeks ago
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.
Job description
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