Directeur / Directrice Compliance et Risk management F/H - Toronto, ON, Canada - Canadian Investment Regulatory Organization

Canadian Investment Regulatory Organization Toronto, ON, Canada

1 week ago

Full time

Description

Position Title:
Director, Trading Conduct Compliance
Permanent Full-time (Hybrid)

The Director of Trading Conduct Compliance (TCC) will lead our Toronto team, and in collaboration with other regional directors, lead the national TCC program in ensuring the integrity and compliance of trading activities of CIRO dealer members through the timely and risk-based execution of our examination program.

This pivotal role is responsible for the oversight of trade desk review programs, ensuring compliance with industry regulations, and contributing significantly to the Market Regulation Division's operational objectives.

Direct and oversee the TCC team to ensure efficient monitoring of trading records, processes, procedures, and supervision.

This includes identifying and assessing potential violations of the Universal Market Integrity Rules (UMIR) and trading- related Investment Dealer and Partially Consolidated Rules (IDPC) requirements.

Regularly update the content of review modules, TCC policies and procedures, adapting to changes in regulatory standards and market practices.

Engage with both internal and external stakeholders, including regulatory bodies and market participants, to enhance the effectiveness and responsiveness of the Market Regulation Department and CIRO.

Lead the department towards achieving its operational goals by managing and developing team members effectively, fostering a culture of excellence and continuous improvement.

Collaborating closely with other regional Directors to achieve national consistency within TCC and across compliance areas.
Bachelor's degree required, preferably in Finance, Economics, or a related field.

A minimum of 5 years of securities industry experience, with a strong preference for candidates with senior-level expertise in compliance.

A deep understanding of Canadian capital markets and proven track record dealing with complex trading issues and trade desk compliance.

Demonstrated leadership in managing a compliance or regulatory team.
In-depth knowledge of CIRO's policies and procedures, especially as they relate to the trading function.
Proven ability to manage tight deadlines and work under pressure in diverse environments.

Strong leadership qualities, including sound judgment, the ability to inspire and develop others, and a commitment to ethical conduct.

Comprehensive knowledge of the equity transaction process, including trading and back-office systems and technologies.
Knowledge of crypto, derivatives, and debt trading is a significant asset.
Accommodations for individuals with disabilities are available.

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