Manager, Trade Desk Compliance

The Manager, Trade Desk Compliance will be responsible for overseeing and ensuring compliance with Canadian Investment Regulatory Organization (CIRO) regulations and other applicable trading rules across all trading activities conducted by the Investment Dealer. This role involves acting as the compliance subject matter expert on trading rules, products, and requirements that impact the trade desk and related regulatory requirements for the Investment Dealer. You will build strong collaborative relationships with Product, Trading, Operations, Engineering and Finance teams to ensure compliant implementation of business initiatives. Key responsibilities include providing guidance on relevant trading rules, reviewing trading strategies for compliance, enhancing firm and client trading activity monitoring, conducting compliance reviews, ensuring accurate regulatory reporting, managing regulatory inquiries, and designing trade desk compliance policies. The role requires in-depth knowledge of Canadian securities regulations, experience with trade surveillance systems, and relevant certifications.