Do you hold a Supervisor and Chief Compliance Officer Certificate from the Canadian Securities Institute?
We are expanding in Canada and want to talk.
Admirals is seeking to hire a Chief Compliance Officer/Supervisor with the valid certificate from the Canadian Securities Institutes the CCO and the Supervisor to join our global team. The purpose of the role is to assist/lead the development of the business strategy in Canada.
The successful candidate will facilitate and support the Management Board in development new CFD business in Canada to ensure the achievement of our overall company objectives.
This exciting position offers the opportunity to play a pivotal part in advancing the company’s global strategy in the North America region.
The Chief Compliance Officer (CCO) is the operating officer of an investment dealer who is responsible for the monitoring and oversight of the firm’s compliance system.
The Supervisor is an employee of an investment dealer who is approved by IIROC to supervise the trading and/or advising activities of other employees and agents of the investment dealer or to supervise certain type of trading activities, like options or futures trading or to fulfil a supervisory role mandated under IIROC’s rules.
Role and responsibilities
To comply with IIROC applicable proficiency requirements of Rule 2900as the Supervisor and the Chief Compliance Officer ([login to view URL]).
The Supervisor’s and CCO’s responsibilities as Approved Persons are found in IIROC Rule 38 Compliance and Supervision([login to view URL]:~:text=(a)%20No%20person%20may%20act,the%20approval%20of%20the%20Corporation).
Start your bids with CCO to know you read through
Responsibilities of a Supervisor
ensuring that the firm complies with its KYC obligations and regulatory disclosure requirements such as providing clients with and requiring their acknowledgement of the prescribed Risk Information Document for Derivatives at account opening;
establishing and enforcing risk capital limits on client accounts;
enforcing margin requirements;
ensuring the firm complies with its derivatives reporting obligations under OSC 91-507;
performing daily and monthly review of client account activity;
pre-approving advertising, sales literature and correspondence, including research reports; and
ensuring the Approved Persons under his/her supervision are carrying out their registrable activities in compliance with their regulatory obligations.
Responsibilities of a CCO
The CCO is responsible for the implementation of Admirals Canada’s Anti-Money Laundering and Anti-Terrorist Policies and Procedures (the “Anti-Money Laundering Procedures”);
The CCO is ultimately responsible for ensuring day-to-day compliance with Admirals Canada’s Anti-Money Laundering Procedures, communicating the Anti-Money Laundering Procedures to all Admirals Canada Employees, promptly reporting Suspicious Transactions to Financial Transactions and Reports Analysis Centre of Canada (“FINTRAC”; [login to view URL]), and complying with the United Nations Regulations.
To be approved by IIROC and be complied with IIROC requirements.
Minimum qualification: Bachelor’s degree
Excellent English written and verbal skills. Fluent French will be an advantage.
Previous industry-related experience will be considered a plus (Financial services/Fintech).
Other than CSI courses, here are your experience requirements –
Two years of relevant experience working for an investment dealer
Two years of relevant supervisory or compliance experience working for an entity governed by a recognized foreign self-regulatory organization
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