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Job Title: Trading Compliance Officer Location: Downtown Vancouver, BC Company Overview: Qtrade Financial Group is committed to offering comprehensive, market-leading wealth management solutions to both the retail public as well as the customers of over 200 financial institutions including credit unions, banks, trust companies and financial planning companies across Canada. Qtrade currently administers over $9 billion of investment assets through our subsidiaries and is ranked as best Online Broker from the Globe and Mail for 6 years in a row. Our goal is to be a leading provider of wealth management solutions to enable our stakeholders to achieve their financial goals. Job Overview: Reporting to the VP Compliance, the Trade Compliance Officer’s role will be primarily responsible for conducting Trading Surveillance oversight and ensuring that Universal Market Integrity Rules are complied with. This will include monitoring daily trading activity, through automatic alerts and manually, maintaining supervision spreadsheets, and producing internal and external regulatory reports as assigned. In addition, the role will support Compliance/Credit supervision, QI Account Approval, and AML functions as assigned. Duties and Responsibilities: Trading Compliance Review trading data on a daily basis to monitor and detect various trading violations and deficiencies (i.e. Manipulative and Deceptive Trading, Client Priority Concerns, Frontrunning, Order Handling, Best-Ex, etc.) Daily testing for trade markers, insider trading, OTCBB, restricted list, CTO, on-stop limits, Maintain supervision spreadsheets of daily and monthly supervision details and findings, prepare “gatekeeper” reporting, and assist with researching and gathering materials in response to investigations; Complete and prepare the Quarterly Trade Desk Review, Identify risk trends through analytical reviews, identify and provide correct measures to possible gaps and weaknesses. Provide education to QI traders regarding trading compliance issues Assist the VP Compliance in identifying opportunities, recommend opportunities, and assist with implementation and testing of IT solutions for efficient and effective Trading Compliance processes and procedures. Daily and monthly review of Options trading Actively participate in trading compliance continuing education opportunities and keep current with relevant industry initiatives and regulatory changes. Compliance/Credit Support credit function, with debit reviews, cheque and EFT approvals, and various credit reporting, as assigned Back-up for Qtrade Investor Account Approvals Support the AML function, with AML STR Reviews, PEFP activity, Listed Person Reviews, as assigned Provide investigative support as required on various compliance projects or business initiatives A trusted leader for wealth management solutions Vancouver, BC, V7X 1M6 www.qtrade.ca Required Skills and Qualifications: 5+ years compliance experience or related securities experience Trading experience and/or robust knowledge of UMIR and other trading rules (i.e. NI 23-101) Excellent analytical, critical thinking and problem solving skills Accuracy and detail-orientation in all responsibilities. Strong initiative and good judgment in evaluating an objective and executing a plan to achieve a process change. Strong organizational and time management skills. Strong written and communication skills Knowledge and awareness of AML regulations is an asset Proficient in Dataphile, and Market Q or Thompson One Experience with PositionWatch Compliance, or similar trading compliance supervision systems would be a significant asset Ability to be registered as IIROC Supervisor Willingness to become registered for Options Supervision within agreed upon time. Hours of Work Hours are Monday to Friday, 6:30 am to 2:30 pm Location: We are located in downtown Vancouver at the Bentall One Building (corner of Burrard and Pender), two blocks away from the Burrard Skytrain station. Qualified candidates are asked to submit their resume with cover letter in confidence to. www.qtrade.ca/careers. Candidates must have legal work authorization in Canada. For more company information, please refer to our website at www.qtrade.ca We thank all applicants for applying; however only those applicants selected for an interview will be contacted. No recruiters, agencies, please. A trusted leader for wealth management solutions Vancouver, BC, V7X 1M6 www.qtrade.ca