VP, Trade Floor Supervision

VP, Trade Floor Supervision

On behalf of our client in the Banking Sector, PROCOM is looking for a VP, Trade Floor Supervision.

VP, Trade Floor Supervision – Job Description

The Vice President, Trade Supervision will have responsibility for Capital Markets Trade Floor Supervision

In this role, the Vice President will work closely with the LOB (Lines of Business), primarily supporting the FICC (Fixed Income, Currencies & Commodities) businesses, to assess, analyze, update regulatory matters and ensure appropriate controls are in place to mitigate risk and increase the potential for revenue

VP, Trade Floor Supervision – Mandatory Skills

Professional certifications are required and\or must be obtained-IIROC Supervisor Registration, PDO- Partners, Directors & Senior Officers Examination

5+ years of business experience or experience in a Compliance or Regulatory function covering a major Broker-Dealer

In-depth knowledge of Capital Markets products and services including related functions and responsibilities of support groups and stakeholders (e.g., Compliance, Operations, Legal, . etc.)

Knowledgeable of the various regulatory risks and controls associated with Capital Markets business activities, including market risk, credit risk, operational risk

Knowledgeable regarding Capital Markets structure, infrastructure, products, services and technology

Strong understanding of current and horizonal issues of the regulatory industry

Exceptional analytical skills

Proven ability to conceptualize regulatory initiatives and to guide those initiatives as daily business requirements for the group

Maintain a clear holistic organizational view of actual and potential regulatory business risks

Ability to advocate persuasively and to negotiate with influence on effect change in areas without direct reporting status to the incumbent

Highly developed written and oral communication skills

Proficiency in communicating policies and procedures in a clear and concise manner

Expertise in computer applications and database management tools including, but not limited to, MS Excel and MS Word, Actimize and a proficiency in MS PowerPoint would be a plus

Exceptional ability to independently manage multiple priorities and to proactively service multiple clients in a fast-paced environment

Ability to work independently to support achievement of Capital Markets business management objectives and work a demanding schedule under limited supervision

Excellent attention to detail and ability to learn and adapt quickly

Ability to recognize material differences between planned execution and actual practice

VP, Trade Floor Supervision - Nice to Have Skills

Former trading experience

Familiarity with regulatory environment

VP, Trade Floor Supervision - Assignment Start Date

ASAP – 12 months to start

VP, Trade Floor Supervision - Assignment Location

Toronto, ON – Work Onsite