Responsibilities
- Provide second line of defence oversight for the offering of derivatives products in the US and Canada, including forwards, options and other OTC derivatives.
- Act as advisor to the front line sales teams in relation to regulatory requirements applicable to Convera’s derivative products.
- Ensure compliance with applicable Canadian Securities Administrators (CSA) and provincial regulatory requirements, including derivatives business conduct and trade reporting obligations.
- Ensure compliance with CFTC requirements applicable to non-swap dealers, including activity-based scope limitations and record-keeping obligations.
- Act as a key compliance liaison with US and Canadian regulators, including supporting regulatory inquiries and examinations as required.
- Perform oversight, monitoring and controls testing across end-to-end derivatives processes, identifying control gaps and remediation actions.
- Escalate material breaches or control failures in accordance with Convera’s escalation framework.
- Develop and maintain policies, procedures and controls covering derivatives compliance across Canada and the United States.
- Perform compliance monitoring and support the global Markets Compliance global monitoring and testing program.
- Maintain regulatory horizon scanning for Canadian and US derivatives regulation.
- Support the delivery of derivatives compliance training across North America.
- Work closely with Legal, Risk, Operations and Front Office teams globally.
Requirements
- University degree in law, finance, economics or a related discipline.
- Experience in markets or derivatives compliance in Canada and/or the United States.
- Strong knowledge of Canadian derivatives regulation and practical understanding of CFTC requirements applicable to non-swap dealers.
- Experience supporting regulatory examinations or audits.
- Strong written and verbal communications skills, including formal presentation skills
- Strong analytical and problem solving skills.
- Well-developed interpersonal skills in a team-oriented environment
- Ability to work independently in a structured and analytical way
- Ability to work in a fast-changing environment with multiple priorities
Benefits
- Competitive salary
- Opportunity to earn a bonus (dependent on performance)
- Great career growth and development opportunities in a global organization
- Corporate benefits
- Health coverage
- Retirement savings options
- Paid time off
- Wellness resources
Work Arrangement
Hybrid
Additional Information
- Availability during core North American business hours is required, with flexibility for global meetings.
