• Engage with Capital Markets Compliance and business stakeholders and build a wide understanding of the regulatory compliance environment, requirement and business processes and controls• Execute and report the results of the Monitoring and Testing engagements• Maintain knowledge of capital markets business changes and regulatory developments• Contribute to the development of Capital Markets Compliance M& T methodology and practice• Lead ad-hoc global compliance projects &… Show more • Engage with Capital Markets Compliance and business stakeholders and build a wide understanding of the regulatory compliance environment, requirement and business processes and controls• Execute and report the results of the Monitoring and Testing engagements• Maintain knowledge of capital markets business changes and regulatory developments• Contribute to the development of Capital Markets Compliance M& T methodology and practice• Lead ad-hoc global compliance projects & initiatives Show less

• Oversee BCI's regulatory filing obligations • Monitor pool fund policy compliance • Provide advice and support to Public Markets business initiatives• Develop and approve Public Markets compliance procedures• Motivate and support team members to deliver high quality service to stakeholders

Develop and maintain in-depth knowledge of regulatory requirements and developmentTake care of compliance testing engagements from planning, execution to reportingAssess the design and operating effectiveness of business or functional area controlsManage the preparation and delivery of the engagement reportsProvide support to business in implementing changes to supervision programAssist Canadian Banking and Wealth Management compliance testing

• Review Participants’ equity trading records, and policies and procedures for compliance with securities industry rules and regulations• Reviews Participants’ fixed income, OTC equity and derivatives procedures and policies• Analyze Participants’compliance testing to assess adequacy • Conduct testing for potential trading violations to be included in the findings report • Advise Participants of issues and concerns identified in review • Prepare deficiency reports for IIROC… Show more • Review Participants’ equity trading records, and policies and procedures for compliance with securities industry rules and regulations• Reviews Participants’ fixed income, OTC equity and derivatives procedures and policies• Analyze Participants’compliance testing to assess adequacy • Conduct testing for potential trading violations to be included in the findings report • Advise Participants of issues and concerns identified in review • Prepare deficiency reports for IIROC management and Participants about review results • Assess Participants response to finding report and assess their adequacy and follow up where necessary• Make referrals to other IIROC teams for further investigation where appropriate• Advise and support Participants about effective methods to improve processes and resolve deficiencies• Respond to compliance related complaints and inquiries from Participants Show less

Review trading activity and other reports to ensure compliance with industry rules and firm policy

Review trading