▪ Lead Maintain and develop expertise in Canada, US and foreign regulations; Knowledge of regulatory frameworks, legislation, and best practices; Extensive expertise in Capital market, trading and brokerage industries.

▪ Ensure the dissemination of legal and regulatory compliance programs to internal stakeholders in order to promote a culture of ethics and compliance.

▪ Manage, authorize and conduct sales transfers for external brokers; 6+ Years experience trading at institutional and brokerage level on stock, options, bonds, fixed income products, money market products, OTC and private placement.

▪ Leadership and strong communications skills to develop and ensure the dissemination of legal and regulatory compliance programs, including the monitoring program and maturity level assessments for QI, QDD, Volcker Rules, Covered Funds Activity, BHCA, 871 (m), 1446, FINRA Reporting rules, FINRA 2111, Reg S, Reg 144A, CFTC & SEC Registration process, CFTC Exemption rules for CTA/End user-profile/Investment Advisor/Investment Manager.

▪ Administer and evaluate private placement investment, risk assessment and regulatory requirements for IPO or alternative investments; Carrying out Volcker Rules analyzes - Proprietary Trading – Funds prohibitions Limitations. Experience in creation and updating of oral disclosures for transactions on bank GICs and linked notes. Manage and assess risk on position for margin account or for short trade transaction with asset management or institutional trading department.

▪ Direct and ensure compliance with regulations and resolve complex cases; Manage change in a context of regulatory transformation and structural reorganization; Articulate compliance regulations, policies, requirements understanding and adherence by relevant parties.

▪ Act as manager in the context of projects and interact with the various stakeholders at all levels (Frontline – Audit – HR – Trading Unit – Portfolio Manager – Regulatory Authorities - Law Department - Internal Audit and other Risk functions) of regulatory projects and ensure alignment between the parties.

▪ Experience in reporting to senior management on the status of regulatory watch and the strategies needed for the future (KRI & KPI realization).

▪ Advise and support Business Unit or partners in the implementation, planning, and monitoring related to various projects or strategic mandates. Strong expertise to identify potential compliance risks, gaps, and issues; Manage and Lead audit, remediation plan, corrective action, testing strategies and methodologies to ensure compliance-related challenges or incidents are solved.

▪ Validate the compliance of marketing materials and assist in the development of distributed compliant marketing materials distributed locally or via cross border activities (Pitchbook, flyers, Brochures etc...).

▪ Manage and establish Fund compliance program; Manage Financial Crime, Due diligence, Know your client (KYC) & Anti-Money Laundering (AML) policy; Daily task experience with the monitoring and supervision of the compliance review (FINTRAC - FINTRAC Sanctions List - Update United Nations Security Council Consolidated List - FINCEN Reports - Run AML databases to find a match.