Canaccord Genuity Group
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Sr. Institutional Compliance Officer

Location: Toronto, Ontario, Canada

Sr. Institutional Compliance Officer, Compliance – Toronto – Job # 5228


Summary

Through its principal subsidiaries, Canaccord Genuity Group Inc. (the “Company”) is a leading independent, full-service financial services firm, with operations in two principal segments of the securities industry: wealth management and capital markets. 
 
Since its establishment in 1950, the Company has been driven by an unwavering commitment to building lasting client relationships. We achieve this by generating value for our individual, institutional and corporate clients through comprehensive investment solutions, brokerage services and investment banking services.
 
The Company has Wealth Management offices located in Canada, the UK, Guernsey, Jersey, the Isle of Man and Australia.  Canaccord Genuity, the international capital markets division, operates in Canada, the US, the UK, France, Ireland, Hong Kong, China, Australia and Dubai.  To us there are no foreign markets.™
 
Our Canadian operation, Canaccord Genuity Corp., is currently looking for a Compliance Officer to join their team on the Institutional Trading Desk. 
 

Responsibilities 

  • Conduct daily, monthly and quarterly surveillance and compliance testing of the institutional trading desk;
  • Provide guidance to traders to ensure compliance with regulatory requirements and internal policies and procedures;
  • Assist with time-sensitive tasks promptly to avoid regulatory scrutiny and/or penalties;
  • Support the research, investment banking, equity capital markets, deal origination, and syndication business areas;
  • Develop supervisory processes & procedures to remain compliant with regulatory requirements to prevent regulatory penalties;
  • Research, prepare and implement responses to regulatory inquiries;
  • Perform, control room functions as necessary, including grey and restricted list administration;
  • Perform additional responsibilities as assigned.

 

Skills & Qualifications 

  • 10 years of experience in Capital Markets Compliance, Supervision, Audit, Trading or Dealer Practices (middle, back-office or operations);
  • Related post-secondary degree with CSC, CPH and Options. Additional CSI courses are considered an asset;
  • Understanding of IIROC, and CSA regulations, familiarity with US regulations helpful but not required;
  • Proficiency with Fidessa (trade management system), Dataphile (trade settlement, processing, tracking), PositionWatch (compliance management) or similar compliance/trading systems;
  • Proficiency with MS Office particularly Word, Excel and Outlook;
  • Ability to draft new procedures and implement new processes;
  • Excellent prioritization and organizational skills, with the ability to multi-task and work effectively under pressure; 
  • Keen attention to detail;
  • Problem solving and sound judgment skills with the ability to exercise tact and discretion are essential.
Canaccord Genuity Corp. welcomes and encourages applications from all qualified individuals including persons with disabilities. We will provide reasonable accommodations upon request for candidates taking part in all aspects of the recruitment and selection cycle.
 
Qualified applicants are invited to submit a resume and covering letter including salary expectations. All applications will be held in strict confidence. 
 
In order to be considered for employment at Canaccord Genuity, candidates selected for interviews will be required to show proof of citizenship, permanent residence or eligibility to work in Canada with no restrictions.
 
We wish to thank all candidates for their interest but only those applicants selected for an interview will be contacted. No phone calls please. Thank you for your understanding.
 
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Canaccord Genuity Corp. welcomes and encourages applications from all qualified individuals including persons with disabilities. We will provide reasonable accommodations upon request for candidates taking part in all aspects of the recruitment and selection cycle.

Qualified applicants are invited to submit their resume, cover letter and desired salary. All applications will be held in strict confidence.

We thank all candidates for their interest but only those applicants selected for an interview will be contacted.

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For general position inquiries in the UK and Europe please click here
For general position inquiries in China and Hong Kong please click here
For general position inquiries in Australia please click here




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