As a Vice President on the Global Markets Supervision team, you will be responsible for ensuring that the designated Front Office supervisory and operational risk management activities are effectively implemented and sustained. This will include maintaining operating desk procedures, designing and implementing tools to assist the Front Office in meeting and governing risk management-related responsibilities and objectives efficiently and consistently across global teams with appropriate control assurance procedures.
What will you do? Ensure that all Business Supervisory Procedures are completed on time and assess and communicate regulatory requirements and impact analysis for the desk.Develop productive communication channels with regulators.Review regulatory and compliance reports to ensure the business is in compliance with industry regulations and RBC standards.Conduct regular reviews to confirm that control/oversight is being conducted as designed.Proactively identify operational risks/control deficiencies in the business and design appropriate action plans to address them.Work with the North American Business Management team to improve supervisory controls and adherence to compliance and regulatory requirements.Assist the North American Business Manager in the effective design and execution of appropriate controls and in implementing a continuous monitoring regime regarding audit issues, operational risk issues, and compliance programs.Ensure timely completion of management action plans from risk assessments, internal audits, and regulatory reviews.Communicate and educate staff on new and existing Standing Orders and Firm policies.Review and comply with Firm Policies applicable to your business activities.Escalate operational risk loss events, control deficiencies, and risks that you identify to your line manager and the relevant risk and control functions promptly.What do you need to succeed? Must-have BA, MA, or MS or equivalent with a detailed understanding of Equity Capital Markets.Solid industry experience.Solid understanding of Equities (Cash and Derivatives).Strong knowledge of Canadian market structure and regulatory requirements.Previous proven experience of related work in a financial services or brokerage firm environment.Strong business judgment and ability to make and support recommendations without complete information.Strong written and oral communication skills.Detail-oriented, organized, and results-driven.Good team player.Ability to work in a fast-paced environment.What's in it for you? We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference in our communities, and achieving success that is mutual. A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, and leaders who support your development through coaching and managing opportunities. Work in a dynamic, collaborative, progressive, and high-performing team.
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