Trade Conduct Compliance Officer
- Employer: iA Securities
- City: Toronto
- Job category: Legal and Compliance
- Job ID: J0918-1086
- 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 of Trade Conduct Compliance, the position will entail daily retail and institutional trade desk supervision. The candidate will need to be licensed with IIROC as a supervisor (at a minimum) Tier 2 (can be done within 3 months of arrival).
The Job includes the following areas:
1. Tier 2 institutional and retail trade supervision
2. Conduct daily and monthly trade desk supervision (equities, bonds and options)
3. Address, detect, prevent and report manipulative and deceptive trading activity
4. Identify, review and assess account concerns
5. Prepare and analyze compliance reports
6. Monitor Pro accounts
7. Monitor Insiders, Grey and Restricted lists, Short sales.
8. Manage compliance documentation databases
9. Manage trade error reconciliations
10. Perform various other projects and duties as assigned
11. Conduct compliance risk trend analysis
a. Minimum of 3-5 years’ experience in IIROC dealer compliance
b. CSC and CPH course (current)
c. Bilingual would be considered an asset
d. In-depth knowledge of the Canadian securities industry, including IIROC rules
e. Strong problem-solving skills
f. Ability to work well in a team environment and have excellent and effective verbal and written communication skills
g. Strong analytical skills
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
h. Highly organized with good attention to detail and very high level of accuracy
i. Enhanced software knowledge (specifically Word and Excel)
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.