“UMIR” jobs in Canada

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• 8d

  Trading Conduct Compliance Examiner (18 month contract)

  Montréal, QC

  Full Time

  C

  CIRO

  3+ YOECandidates need at least three years in the securities industry, ideally in compliance or a trading desk at a dealer. They need knowledge of securities rules, a solid understanding of equity and fixed income transaction processes, and full English and French bilingualism.

  UMIR, IDPC Rules

  1mo

  Senior Policy Counsel

  Toronto, ON +3

  Full Time

  C

  CIRO

  5+ YOECandidates need a law degree, good standing at a Canadian bar, and 5 to 10 years of securities-related legal experience. Strong writing, analysis and knowledge of Canadian market structure and UMIR are required.

  CIRO, Research, Securities, Regulatory compliance, Private Practice, Policy development

  1mo

  Trading Conduct Compliance Examiner

  Vancouver, BC

  Full Time

  C

  CIRO

  5+ YOECandidates need at least five years in the securities industry, preferably in compliance or a dealer trade desk. They must have completed the Canadian Securities Course and Conduct and Practices Handbook, and know securities rules and equity and fixed income trading and back-office processes.

  Regulatory compliance, CIRO, Securities, Improve business processes, Presentation skills, CSC

  1mo

  Surveillance Officer

  Vancouver, BC +2

  Full Time

  C

  CIRO

  5+ YOECandidates need a post-secondary degree, 5 to 10 years of trading or compliance experience, and strong derivatives knowledge. Completion of the Canadian Securities and Trader Training courses is also required, and familiarity with UMIR and securities law is strongly preferred.

  trading surveillance systems

  1mo

  Trading Conduct Compliance Examiner

  Toronto, ON

  Full Time

  C

  CIRO

  5+ YOECandidates need at least five years in the securities industry, preferably in compliance or a dealer trade desk. They must know securities rules and understand equity and fixed income transaction processes. Completion of the Canadian Securities Course and Conduct and Practices Handbook is required.

  back-office systems

• 18d

  Associate Director, Retail Equity Trading

  Toronto, ON

  

  Bank of Montreal

  7+ YOEBank of Montreal needs candidates with 7+ years of equity trading experience in a dealer, brokerage, institutional or wealth management setting. Candidates must hold the Canadian Securities Course (CSC) and the Trader Training Course (TTC) or equivalent licensing.

  Bloomberg, Moxy, Electronic routing systems, Trade surveillance tools

  25d

  Manager, Business Compliance

  Toronto, ON

  

  Bank of Montreal

  5+ YOECandidates need deep knowledge of regulatory requirements and compliance programs, plus experience working with business leaders and oversight functions. The posting also asks for strong analysis, documentation, and communication skills.

  GRCE, Personal Trading Application (PTA)

  1mo

  Manager, Business Compliance

  Toronto, ON

  Full Time

  

  Bank of Montreal

  5+ YOECandidates need an in-depth understanding of the businesses, the Enterprise Compliance Program and applicable regulations, plus strong analysis and stakeholder skills.

  GRCE, Personal Trading Application (PTA)

• 26d

  Associate Director, Retail Equity Trading

  Toronto, ON

  Full Time

  BN

  BMO Nesbitt Burns Inc.

  7+ YOECandidates need at least 7 years of equity trading experience in a dealer, brokerage, institutional or wealth management setting, plus the Canadian Securities Course and Trader Training Course or equivalent licensing. Strong knowledge of Canadian market structure and best execution, and excellent communication skills, are also required.

  Bloomberg, Moxy, Electronic routing systems, Trade surveillance tools

• 26d

  Senior Compliance Business Oversight Analyst (5589)

  Toronto, ON

  On-siteFull Time

  TT

  The Toronto-Dominion Bank (Canada)

  Candidates need strong knowledge of equities and listed derivatives and Canadian trading rules such as UMIR, TSX and Montreal Exchange rules and NI 23-101. Power BI, data analysis, project management and strong written and oral communication are also required.

  Power BI

• 29d

  Manager, Compliance

  Toronto, ON

  

  Questrade Financial Group: Questrade offers Canadians an easy way to invest in securities and foreign currency and provides online wealth management and mortgage through the…

  5+ YOEQuestrade Financial Group needs candidates with in-depth Canadian securities industry knowledge, trade desk or trade monitoring experience, and 5+ years of related experience, preferably in a senior compliance role. Strong knowledge of CIRO (UMIR, IDPC) and CSA rules and the listed securities licensing courses are required.

  Bloomberg, Microsoft Excel, Microsoft Word

• 1mo

  Compliance Officer, Trade Surveillance - OTC

  Toronto, ON

  

  Scotiabank

  5+ YOECandidates need at least five years of related experience at a financial institution or regulated securities dealer, plus a solid understanding of equity, fixed income and derivatives trading. They also need knowledge of Canadian securities rules, strong written and spoken communication, and the ability to work both independently and in teams.

  MS Office

• 1mo

  Subject Matter Expert(s) CIRO Exams

  Edmonton, AB

  RemoteContract

  

  WeKnowTraining

  7+ YOECandidates need 7 to 10+ years of industry experience, with deep expertise in one CIRO exam area and strong knowledge of CIRO/IIROC rules. Preferred credentials include LL.B/J.D., CPA, CFA, FRM, CIM, ICD.D or equivalent.

  CIRO, Regulatory compliance, Securities, Know your customer, Record keeping, Financial statements

• 1mo

  Trade Supervision and Oversight Manager

  Toronto, ON

  Full Time

  

  Fidelity Clearing Canada ULC

  5+ YOECandidates need five years of trading or compliance oversight experience and a university degree or equivalent work experience. They also need strong knowledge of CIRO and UMIR rules, and the CSC, CPH and TTC courses.

  trade surveillance systems, analytics tools

  1mo

  Regulatory Compliance Manager, Trade Surveillance

  Toronto, ON

  Full Time

  

  Fidelity Clearing Canada ULC

  5+ YOECandidates need 5+ years in the investment dealer industry, including compliance or trading desk work, plus a university degree or equivalent experience. Strong knowledge of Canadian trading rules, analytical skills and Excel proficiency are also required.

  Bloomberg, Microsoft Excel, Microsoft Access, Microsoft Word, Microsoft PowerPoint

• 1mo

  Senior Compliance Officer

  Toronto, ON

  Full Time

  CI

  CI Investments Inc.

  2+ YOECandidates need at least 2 years of compliance experience at an investment dealer, with working knowledge of UMIR and CIRO rules. Strong written and verbal communication, analytical skills and the ability to handle multiple priorities under pressure are required; CSC and CPH are an asset.

  Salesforce

9 companies