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Form of workJob Summary
Assist management to ensure compliance with all rules, regulations, and internal controls and promptly deal with any issues as they arise.
Job Description
PRIMARY RESPONSIBILITIES:
Ensure that all Business Supervisory Procedures are completed on time.
Review regulatory and compliance reports to ensure the business is in compliance with industry regulations and RBC standards.
Conduct regular reviews to confirm that control / oversight are being conducted as designed.
Proactively identify operational risks / control deficiencies in the business and design appropriate action plans to address.
Maintain files and back-up for all regulatory, compliance and risk matters.
Work with Business Management and IT to develop techniques, tools, and processes required to maintain proper records and ensure regular reviews.
Ensure attestation on all supervisory functions such as book ownership, application access, EUC, etc. are performed and completed as required.
Work with Global Markets Business Management team to improve supervisory controls and adherence to compliance and regulatory requirement.
Assist in the effective design and execution of appropriate controls and for implementing a continuous monitoring regime with regard to audit issues, operational risk issues, compliance programs, adherence to standing orders etc.
Ensure timely completion of management action plans from risk assessments, internal audits and regulatory reviews.
Communicate and educate staff on new and existing Standing Orders and Firm policies.
Proactively identify operational risks/ control deficiencies in the business
Review and comply with Firm Policies applicable to your business activities.
Escalate operational risk loss events, control deficiencies and risks that you identify to your line manager and the relevant risk and control functions promptly
EDUCATION AND EXPERIENCE:
Required:
BA, MA, MS or equivalent with a detailed understanding of Global Markets sales and trading business lines
Minimum 2 years industry experience
Solid understanding of the processing and control environments for equities (cash and derivatives)
Previous proven experience of related work in a financial services or brokerage firm environment
Strong business judgement, ability to make and support recommendations without complete information
Strong written and oral communication skills Detail oriented/organized and results driven
Good team player
Ability to work in a fast paced environment
Preferred:
CSC, CPH, Trader Training, Series 7, 63 an asset
Job Skills
Business, Business Reviews, Communication, Compliance Reporting, Equities, Equities Trading, Fast-Paced Environments, Global Market, Operational Risks, Regulations, Strategic ObjectivesAdditional Job Details
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