Markets Compliance Officer (Canada & US)

Job description

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. Key Responsibilities: US & Canada – Primary Coverage - 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 Canadia...