Our client, a Global Investment bank, is looking to hire a mid-level Compliance professional for a 6 month contract as soon as possible. You will play in important part of the compliance and risk program for the Canadian dealer and will be the ideal role for someone looking to take a step-up into future management.
Main responsibilities are:
- Conduct surveillance and monitoring of the Canadian Options and Futures & equity businesses
- Work closely with US Control Room to implement firm wide restrictions
- Monitor and review trading against Restricted and Watch lists
You will ideally need to have proven knowledge and understanding of the Canadian regulatory environment (IIROC, OSC, Montreal Exchange, ICE Futures Canada rules and regulations). Canadian Securities Course (CSC) is required. Exposure to Commodities markets preferred.
For more information, please contact Benjamin Ellison on 646 766 1212 or