Title: Trade Compliance Analyst, Americas
Our client is seeking a Trade Compliance Analyst to assist with the compliance program for the Canadian and US Institutional trading businesses. This position can be based in New York or Toronto.
Grow your career while making your mark within a highly successful organization.
As a talented and ambitious Trade Compliance Analyst, you will join our Risk Management Group in Toronto or New York to assist with the compliance program for the Canadian and US Institutional trading businesses.
You will be responsible for surveillance, monitoring, record-keeping, responding to inquiries from salespersons and trading staff, administration of policies, and front-line compliance/supervisory tasks as directed. If appropriately registered as a supervisor in Canada, you will review and approve new institutional client accounts for compliance with all documentary and verification requirements.
Your 3-5 years of Institutional Compliance experience along with an understanding of the United States and Canadian regulatory environment including IIROC, SEC and FINRA rules and regulations will set you up for success in this role. Completion of the Canadian Securities Course (CSC), and Partners, Directors and Officers Course (PDO) is also required.
Prior registration in the category of Supervisor with IIROC is preferred, and series 7 or equivalent, and Series 24 would also be an asset. Familiarity with SMARTS surveillance software and Fidessa order management system is highly desirable. From time-to-time, you will be required to travel for this role.
If you are looking for a new and exciting challenge, apply today via link.