Trade Compliance Analyst
- Employer: iA Securities
- City: Toronto
- Job category: Legal and Compliance
- Job ID: J0518-0677
- Job type: Regular full time
Company OverviewiA Securities (iAS) is a brokerage firm which offers equities, bonds and pooled investment funds to institutional and retail clients.
Our network of investment advisors supports and guides clients in their investment decisions. We also offer securities trading consulting and research services with respect to capital markets and institutional financing.
A member of iA Financial Group, iAS is led by an experienced team, driven by a desire to serve our clients with professionalism while conducting business in accordance with the highest industry standards.
Reporting to the Manager, Trade Conduct Compliance, the position will entail daily retail and institutional trade desk supervision and compliance with the Industrial Alliance Securities’ Policy and Procedures.
Main responsibilities include:
1. Second tier institutional and retail trade supervision
2. Conduct daily trade desk supervision
3. Prepare and analyze compliance reports
4. Assist compliance staff to complete quarterly trade desk reviews
5. Monitoring external Pro accounts
6. Monitoring Insiders
7. Manage compliance documentation databases
8. Manage trade error reconciliations
9. Perform other duties as assigned
a. Minimum of 1-2 years experience in IIROC dealer compliance
b. CSC and CPH course would be considered an asset
c. Bilingual would be considered an asset
d. Knowledge of securities industry rules and regulations
e. Good analytical, communication and problem-solving skills
f. Highly organized with good attention to detail and very high level of accuracy
g. College Diploma or University Degree
iA Financial Group is committed to fostering a workplace that promotes diversity and inclusion. We can provide accommodation in our recruitment and selection processes to applicants with disabilities where required. Please contact your Recruiter, or send an email to email@example.com
iA Financial Group is committed to having an equal access employment program and welcomes applications from women, visible minorities, Aboriginal peoples and disabled persons. Any use of the masculine form is to simplify the text and includes the feminine form.