Markets Compliance Officer (Canada & US) at Convera
TorontoFull-timeCompliance - Global MarketsPosted about 1 month ago
Apply with PipelineAbout the Role
<p><span data-contrast="none">We are seeking a motivated and experienced Markets Compliance professional to support the offering of derivatives products across Canada and the United States.</span><span data-ccp-props="{"134233117":false,"134233118":false,"335551550":0,"335551620":0,"335557856":16448250,"335559738":0,"335559739":225}"> </span></p>
<p><span data-contrast="none">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.</span><span data-ccp-props="{"134233117":false,"134233118":false,"335551550":0,"335551620":0,"335557856":16448250,"335559738":0,"335559739":225}"> </span></p>
<p><span data-contrast="none">This role reports to the Head of Markets Compliance – APAC & North America.</span><span data-ccp-props="{"134233117":false,"134233118":false,"335551550":0,"335551620":0,"335557856":16448250,"335559738":0,"335559739":225}"> </span></p>
<h3><strong><span data-contrast="none"><span data-ccp-parastyle="heading 1">Key Responsibilities</span></span></strong><span data-ccp-props="{"134233117":false,"134233118":false,"134245418":true,"134245529":true,"335551550":1,"335551620":1,"335557856":16448250,"335559738":210,"335559739":210}"> </span></h3>
<p><strong><span data-contrast="none"><span data-ccp-parastyle="heading 2">US & Canada – Primary Coverage</span></span></strong><span data-ccp-props="{"134233117":false,"134233118":false,"134245418":true,"134245529":true,"335551550":1,"335551620":1,"335557856":16448250,"335559738":150,"335559739":150}"> </span></p>
<ul>
<li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[9642],"469777803":"left","469777804":"","469777815":"hybridMultilevel"}" data-aria-posinset="1" data-aria-level="1"><span data-contrast="none">Provide second line of defence oversight for the offering of derivatives products in the US and Canada, including forwards, options and other OTC derivatives.</span></li>
<li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[9642],"469777803":"left","469777804":"","469777815":"hybridMultilevel"}" data-aria-posinset="1" data-aria-level="1">Act as advisor to the front line sales teams in relation to regulatory requirements applicable to Convera’s derivative products.</li>
<li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[9642],"469777803":"left","469777804":"","469777815":"hybridMultilevel"}" data-aria-posinset="1" data-aria-level="1">Ensure compliance with applicable Canadian Securities Administrators (CSA) and provincial regulatory requirements, including derivatives business conduct and trade reporting obligations.</li>
<li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[9642],"469777803":"left","469777804":"","469777815":"hybridMultilevel"}" data-aria-posinset="1" data-aria-level="1">Ensure compliance with CFTC requirements applicable to non-swap dealers, including activity-based scope limitations and record-keeping obligations.</li>
<li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[9642],"469777803":"left","469777804":"","469777815":"hybridMultilevel"}" data-aria-posinset="1" data-aria-level="1">Act as a key compliance liaison with US and Canadian regulators, including supporting regulatory inquiries and examinations as required.</li>
<li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[9642],"469777803":"left","469777804":"","469777815":"hybridMultilevel"}" data-aria-posinset="1" data-aria-level="1">Perform oversight, monitoring and controls testing across end-to-end derivatives processes, identifying control gaps and remediation actions.</li>
<li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[9642],"469777803":"left","469777804":"","469777815":"hybridMultilevel"}" data-aria-posinset="1" data-aria-level="1">Escalate material breaches or control failures in accordance with Convera’s escalation framework.<span data-ccp-props="{"134233117":false,"134233118":false,"335551550":0,"335551620":0,"335557856":16448250,"335559738":0,"335559739":0}"> </span></li>
</ul>
<p><strong><span data-contrast="none"><span data-ccp-parastyle="heading 2">Global / Cross-Regional Responsibilities</span></span></strong><span data-ccp-props="{"134233117":false,"134233118":false,"134245418":true,"134245529":true,"335551550":1,"335551620":1,"335557856":16448250,"335559738":150,"335559739":150}"> </span></p>
<ul>
<li data-leveltext="" data-font="Symbol" data-listid="2" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[9642],"469777803":"left","469777804":"","469777815":"hybridMultilevel"}" data-aria-posinset="1" data-aria-level="1"><span data-contrast="none">Develop and maintain policies, procedures and controls covering derivatives compliance across Canada and the United States.</span></li>
<li data-leveltext="" data-font="Symbol" data-listid="2" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[9642],"469777803":"left","469777804":"","469777815":"hybridMultilevel"}" data-aria-posinset="1" data-aria-level="1">Perform compliance monitoring and support the global Markets Compliance global monitoring and testing program.</li>
<li data-leveltext="" data-font="Symbol" data-listid="2" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[9642],"469777803":"left","469777804":"","469777815":"hybridMultilevel"}" data-aria-posinset="1" data-aria-level="1">Maintain regulatory horizon scanning for Canadian and US derivatives regulation.</li>
<li data-leveltext="" data-font="Symbol" data-listid="2" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[9642],"469777803":"left","469777804":"","469777815":"hybridMultilevel"}" data-aria-posinset="1" data-aria-level="1">Support the delivery of derivatives compliance training across North America.</li>
<li data-leveltext="" data-font="Symbol" data-listid="2" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[9642],"469777803":"left","469777804":"","469777815":"hybridMultilevel"}" data-aria-posinset="1" data-aria-level="1">Work closely with Legal, Risk, Operations and Front Office teams globally.<span data-ccp-props="{"134233117":false,"134233118":false,"335551550":0,"335551620":0,"335557856":16448250,"335559738":0,"335559739":0}"> </span></li>
</ul>
<h3><strong><span data-contrast="none"><span data-ccp-parastyle="heading 1">Qualifications, </span><span data-ccp-parastyle="heading 1">Skills</span><span data-ccp-parastyle="heading 1"> and Experience</span></span></strong><span data-ccp-props="{"134233117":false,"134233118":false,"134245418":true,"134245529":true,"335551550":1,"335551620":1,"335557856":16448250,"335559738":210,"335559739":210}"> </span></h3>
<ul>
<li data-leveltext="" data-font="Symbol" data-listid="3" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[9642],"469777803":"left","469777804":"","469777815":"hybridMultilevel"}" data-aria-posinset="1" data-aria-level="1"><span data-contrast="none">University degree in law, finance, economics or a related discipline.</span></li>
<li data-leveltext="" data-font="Symbol" data-listid="3" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[9642],"469777803":"left","469777804":"","469777815":"hybridMultilevel"}" data-aria-posinset="1" data-aria-level="1">Experience in markets or derivatives compliance in Canada and/or the United States.</li>
<li data-leveltext="" data-font="Symbol" data-listid="3" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[9642],"469777803":"left","469777804":"","469777815":"hybridMultilevel"}" data-aria-posinset="1" data-aria-level="1">Strong knowledge of Canadian derivatives regulation and practical understanding of CFTC requirements applicable to non-swap dealers.</li>
<li data-leveltext="" data-font="Symbol" data-listid="3" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[9642],"469777803":"left","469777804":"","469777815":"hybridMultilevel"}" data-aria-posinset="1" data-aria-level="1">Experience supporting regulatory examinations or audits.</li>
<li data-leveltext="" data-font="Symbol" data-listid="3" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[9642],"469777803":"left","469777804":"","469777815":"hybridMultilevel"}" data-aria-posinset="1" data-aria-level="1">Strong written and verbal communications skills, including formal presentation skills</li>
<li data-leveltext="" data-font="Symbol" data-listid="3" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[9642],"469777803":"left","469777804":"","469777815":"hybridMultilevel"}" data-aria-posinset="1" data-aria-level="1">Strong analytical and problem solving skills.</li>
<li data-leveltext="" data-font="Symbol" data-listid="3" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[9642],"469777803":"left","469777804":"","469777815":"hybridMultilevel"}" data-aria-posinset="1" data-aria-level="1">Well-developed interpersonal skills in a team-oriented environment</li>
<li data-leveltext="" data-font="Symbol" data-listid="3" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[9642],"469777803":"left","469777804":"","469777815":"hybridMultilevel"}" data-aria-posinset="1" data-aria-level="1">Ability to work independently in a structured and analytical way</li>
<li data-leveltext="" data-font="Symbol" data-listid="3" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[9642],"469777803":"left","469777804":"","469777815":"hybridMultilevel"}" data-aria-posinset="1" data-aria-level="1">Ability to work in a fast-changing environment with multiple priorities<span data-ccp-props="{"134233117":false,"134233118":false,"335551550":0,"335551620":0,"335557856":16448250,"335559738":0,"335559739":0}"> </span></li>
</ul>
<p><strong><span data-contrast="none"><span data-ccp-parastyle="heading 1">Additional Information</span></span></strong><span data-ccp-props="{"134233117":false,"134233118":false,"134245418":true,"134245529":true,"335551550":1,"335551620":1,"335557856":16448250,"335559738":210,"335559739":210}"> </span></p>
<p><span data-contrast="none">This is a full-time role based in Toronto, Ontario. Availability during core North American business hours is required, with flexibility for global meetings. This is a Hybrid position, 2-3 days a week in our Toronto office.</span><span data-ccp-props="{"134233117":false,"134233118":false,"335551550":0,"335551620":0,"335557856":16448250,"335559738":0,"335559739":0}"> </span></p>
<h3><strong><span data-contrast="none"><span data-ccp-parastyle="No Spacing">About Convera</span></span></strong><span data-ccp-props="{"201341983":0,"335551550":6,"335551620":6,"335559739":0,"335559740":240}"> </span></h3>
<p><span data-contrast="none"><span data-ccp-parastyle="No Spacing">Convera is a global leader in commercial payments that powers international business by moving money with ease. We provide tech-led payment solutions to help more than 26,000 customers globally grow with confidence, from small businesses to CFOs and treasurers. As experts in foreign exchange, </span><span data-ccp-parastyle="No Spacing">risk</span><span data-ccp-parastyle="No Spacing"> and compliance, with an unrivaled regulatory footprint, </span><span data-ccp-parastyle="No Spacing">Convera’s</span><span data-ccp-parastyle="No Spacing"> financial network spans more than 140 currencies and 200 countries and territories.</span></span><span data-ccp-props="{"201341983":0,"335551550":6,"335551620":6,"335559739":0,"335559740":240}"> </span></p>
<p><span data-contrast="none"><span data-ccp-parastyle="No Spacing">Our teams care deeply about the value we deliver to our customers, which makes Convera a rewarding place to work. This is an exciting time for our organization as we expand our team with growth-minded, results-oriented people who are looking to move fast in an innovative environment. </span></span><span data-ccp-props="{"201341983":0,"335551550":6,"335551620":6,"335559739":0,"335559740":240}"> </span></p>
<p><span data-contrast="none"><span data-ccp-parastyle="No Spacing">As a truly global company with employees in over 20 countries, we are passionate about diversity; we seek and celebrate people from </span><span data-ccp-parastyle="No Spacing">different backgrounds</span><span data-ccp-parastyle="No Spacing">, lifestyles, and unique points of view. We want to work with the best people and ensure we foster a culture of inclusion and belonging. </span></span><span data-ccp-props="{"201341983":0,"335551550":6,"335551620":6,"335559739":0,"335559740":240}"> </span></p>
<p><strong><span data-contrast="none"><span data-ccp-parastyle="No Spacing">We offer an abundance of competitive </span><span data-ccp-parastyle="No Spacing">perks</span><span data-ccp-parastyle="No Spacing"> and benefits including: </span></span></strong><span data-ccp-props="{"201341983":0,"335551550":6,"335551620":6,"335559739":0,"335559740":240}"> </span></p>
<ul>
<li data-leveltext="" data-font="Symbol" data-listid="4" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"multilevel"}" data-aria-posinset="1" data-aria-level="1"><span data-contrast="none"><span data-ccp-parastyle="No Spacing">Competitive salary</span></span></li>
<li data-leveltext="" data-font="Symbol" data-listid="4" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"multilevel"}" data-aria-posinset="1" data-aria-level="1"><span data-ccp-parastyle="No Spacing">Opportunity to earn a bonus (dependent on performance)</span></li>
<li data-leveltext="" data-font="Symbol" data-listid="4" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"multilevel"}" data-aria-posinset="1" data-aria-level="1"><span data-ccp-parastyle="No Spacing">Great career</span><span data-ccp-parastyle="No Spacing"> growth and development opportunities in a global organization </span></li>
<li data-leveltext="" data-font="Symbol" data-listid="4" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"multilevel"}" data-aria-posinset="1" data-aria-level="1"><span data-ccp-parastyle="No Spacing">Corporate benefits </span><span data-ccp-props="{"201341983":0,"335551550":6,"335551620":6,"335559739":0,"335559740":240}"> </span></li>
</ul>
<p><span data-contrast="none"><span data-ccp-parastyle="No Spacing">There are plenty of amazing opportunities at Convera for talented, creative problem solvers who never settle for good enough and are looking to transform Business to Business payments. </span></span><span data-ccp-props="{"201341983":0,"335551550":6,"335551620":6,"335559739":0,"335559740":240}"> </span></p>
<p><span data-contrast="none"><span data-ccp-parastyle="No Spacing">Apply now!</span></span></p>
<p><strong><span data-contrast="auto">Pay Transparency Statement</span></strong><span data-ccp-props="{"201341983":0,"335559739":0,"335559740":240}"> </span></p>
<p><span data-contrast="auto">Convera is committed to transparent, fair, and equitable hiring practices in full compliance with Canadian federal and provincial requirements.</span><span data-ccp-props="{"134233117":false,"134233118":false,"335551550":0,"335551620":0,"335559738":240,"335559739":240}"> </span></p>
<ul>
<li data-leveltext="" data-font="Symbol" data-listid="5" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"hybridMultilevel"}" data-aria-posinset="1" data-aria-level="1"><strong><span data-contrast="auto">Compensation: </span></strong><span data-contrast="auto">This role pays </span><strong><span data-contrast="auto">$95,000 - $140,000</span></strong><span data-contrast="auto"> per year + an annual bonus </span></li>
<li data-leveltext="" data-font="Symbol" data-listid="5" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"hybridMultilevel"}" data-aria-posinset="1" data-aria-level="1"><strong><span data-contrast="auto">AI Use: </span></strong><span data-contrast="auto">Convera does not use artificial intelligence to screen, assess, or select applicants.</span></li>
<li data-leveltext="" data-font="Symbol" data-listid="5" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"hybridMultilevel"}" data-aria-posinset="1" data-aria-level="1"><strong><span data-contrast="auto">Vacancy Status: </span></strong><span data-contrast="auto">This posting is for an existing vacancy.</span></li>
<li data-leveltext="" data-font="Symbol" data-listid="5" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"hybridMultilevel"}" data-aria-posinset="1" data-aria-level="1"><strong><span data-contrast="auto">Canadian Experience: </span></strong><span data-contrast="auto">Convera does not require Canadian work experience.</span></li>
<li data-leveltext="" data-font="Symbol" data-listid="5" data-list-defn-props="{"335552541":1,"335559683":0,"335559684":-2,"335559685":720,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"hybridMultilevel"}" data-aria-posinset="1" data-aria-level="1"><strong><span data-contrast="auto">Benefits: </span></strong><span data-contrast="auto">We offer a competitive benefits package, including health coverage, retirement savings options, paid time off, and wellness resources.</span><span data-ccp-props="{"134233117":false,"134233118":false,"335551550":0,"335551620":0,"335559738":0,"335559739":0}"> </span></li>
</ul>
<p><span data-contrast="auto">Final compensation and benefits will be discussed during the hiring process and may vary based on individual circumstances and business needs.</span><span data-ccp-props="{"134233117":false,"134233118":false,"335551550":0,"335551620":0,"335559738":240,"335559739":240}"> </span></p>