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Institutional Compliance Officer - Compliance

Toronto, ON
Institutional Compliance Officer, Compliance
Toronto – Job # 5329


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 North America, UK & Europe, Asia, Australia and the Middle East.  

Our Canadian operation, Canaccord Genuity Corp., is expanding their Institutional Compliance department and is currently looking for a junior Compliance Officer to join their team on the Institutional Trading Desk.  

Responsibilities:
  • Perform control room functions, including grey and restricted list administration;
  • Conduct daily trading reviews against the grey and restricted list;
  • Assist with trade surveillance and testing on the institutional trading desk;
  • Perform administrative tasks such as list maintenance and review
  • 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; 
  • Research, prepare and implement responses to regulatory inquiries;
  • Perform additional responsibilities as assigned.

Skills & Qualifications:
  • 3-5 years of experience in Compliance, 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;
  • 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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