Trade Supervision and Oversight Manager
Core
Supervise and oversee trading activities across a multi-asset desk to ensure compliance with Canadian regulatory requirements and internal policies.
Role type
Trade Supervision and Oversight Manager
Builds
Robust supervisory practices, controls, and surveillance capabilities for Canadian brokerage firms and US-based firm arms.
Domain
Financial Services / Capital Markets / Regulatory Compliance
Deliverable
production ML models | dashboards & analysis | client delivery
Required skills
CIRO Dealer Member and UMIR rules knowledge, multi-asset market structure expertise (equities, fixed income, FX, securities finance), trade surveillance tool proficiency, analytical and investigative skills, vendor risk management, governance framework maintenance
Preferred skills
CFA, CIM, OLC, DFC certifications
Technologies
Trade surveillance systems, analytics tools, dashboards, KPI reporting tools
Responsibilities
Supervise daily trading activity across asset classes, monitor trading conduct for best execution and rule adherence, conduct supervisory reviews and exception monitoring, investigate regulatory breaches, maintain desk policy and WSPs, enhance surveillance via automation and data analytics, manage execution venue relationships, oversee vendor risk management, prepare reporting for senior management
Seniority
Mid-Senior, hands-on IC
