Markets Compliance Officer (Canada & US)

Convera • Toronto, ON

25d • $120,000 - $140,000 • Hybrid

About The Position

We are seeking a motivated and experienced Markets Compliance professional to support the offering of derivatives products across Canada and the United States.
The role has responsibility for Canadian derivatives compliance and US derivatives regulatory requirements applicable to Convera’s activities, including compliance with Commodity Futures Trading Commission (CFTC) requirements.
This role reports to the Head of Markets Compliance – APAC & North America.

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

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.

Benefits

• Competitive salary
• Opportunity to earn a bonus (dependent on performance)
• Great career growth and development opportunities in a global organization
• Corporate benefits
• Competitive benefits package, including health coverage, retirement savings options, paid time off, and wellness resources.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level