Step into a pivotal Compliance Manager role focused on Trade Supervision & Surveillance at Haywood Securities, based in Toronto. This on-site, full-time position promises an opportunity to advance your compliance expertise.
In this managerial position, you will oversee trade supervision activities and compliance testing while supporting the VP, Compliance in program development. Your ability to manage complex trade issues and elevate a compliance team will be essential for success. You'll also prepare critical reports for internal oversight committees.
Key Responsibilities:
• Lead trade surveillance and compliance monitoring initiatives
• Supervise compliance team and conduct performance reviews
• Report on risk management controls regularly
• Investigate compliance issues and regulatory concerns
• Liaise with other departments and vendors for improvements
Requirements:
• Proficiency to register as a CIRO Supervisor
• 5 to 7 years of compliance experience ...