Investment Supervisor
Employment Type
Permanent
Location
Toronto, Ontario
Apply SHARE THIS JOB
Job Description :
The firm is part of a global, multi-asset fintech group that provides a broad range of trading products, including OTC offerings such as Contracts for Difference (CFDs), share dealing, and futures. With regulated operations across the U.S., Europe, and APAC, the Group serves millions of customers worldwide.
Reporting directly to the Chief Compliance Officer, the Supervisor will play a critical role in ensuring compliance with CIRO requirements, securities regulations, and other applicable laws. The ideal candidate will meet the competency profile for Supervisors as defined by CIRO, demonstrating the necessary knowledge, skills, and professional behavior to uphold regulatory standards and provide reasonable assurance that the firm, its employees, and Approved Persons operate in full compliance.
Responsibilities of the Investment Supervisor is as follows :
- Ensure compliance with CIRO requirements, securities laws, and firm policies.
- Supervise firm activities, employees, and Approved Persons to ensure adherence to regulatory standards.
- Take timely corrective action on issues outside acceptable conduct or regulatory bounds.
- Assist in developing and maintaining supervisory policies and procedures.
- Supervise the activities of Approved Persons, including account approvals and client activity monitoring.
- Oversee retail futures and options accounts and pre-approve marketing and sales communications.
- Stay current on regulatory requirements, industry trends, and best practices.
- Maintain proficiency through ongoing training and continuing education.
TMGNY
Job Requirements :
College Diploma or University Degree (in business or finance preferred).Futures Licensing Course (FLC), Conduct and Practices Handbook Course (CPH), Either : Derivatives Fundamentals Course (DFC) Or Derivatives Fundamentals and Options Licensing Course (DFOL), Canadian Commodity Supervisors Exam (CCSE), Investment Dealer Supervisors Course (IDSC).4+ years of relevant experience at an investment dealer or an entity governed by a recognized foreign self-regulatory organization.Supervisory experience at a discount broker.Knowledge in Equities, Futures, Currencies & Over-The-Counter Derivatives, including Contracts for Difference (CFDs).Strong knowledge of CIRO requirements, securities and derivatives laws, and regulations applicable to Equities, Futures, Currencies & CFDs.Apply