Vice President, Global Markets Trade Supervision [D-914]

Vice President, Global Markets Trade Supervision [D-914]

28 dic
Villanueva de la Cañada

28 dic


Villanueva de la Cañada

As a Vice President on the Global Markets Supervision team you will be responsible to ensure that the designated Front Office supervisory and operational risk management activities are effectively implemented and are sustained. This will include maintaining operating desk procedures, designing and implementing tools to assist the Front Office to meet and govern risk management related responsibilities and objectives in an efficient and consistent manner across the 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 are regulatory requirements, impact analysis for the desk,

and 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 are being conducted as designed.

Proactively identify operational risks / control deficiencies in the business and design appropriate action plans to address.

Maintain files and back-up for all regulatory, compliance and risk matters

Work with Business Management and IT to develop techniques, tools, and processes required to maintain proper records and ensure regular reviews

Ensure attestation on all supervisory functions such as book ownership, application access, EUC, etc are performed and completed as required.

Work with North American Business Management team to improve supervisory controls and adherence to compliance and regulatory requirement

Assists North American Business manager in the effective design and execution of appropriate controls and for implementing a continuous monitoring regime with regard to audit issues, operational risk issues, compliance programs, adherence to standing orders etc.

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


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, 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

Whats 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 to our communities, and achieving success that is mutual.

A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation

Leaders who support your development through coaching and managing opportunities

Work in a dynamic, collaborative, progressive, and high-performing team

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