Overview

Macquarie’s Toronto office is seeking a Trade Compliance Analyst to assist with the compliance program for the Canadian and US Institutional trading businesses. In this role, you will report to the Chief Compliance Officer of Macquarie Capital Markets Canada / Macquarie Capital Markets North America and the Associate Director, Head of Equities Compliance for Macquarie Capital (U.S.A.) Inc.

Key Responsibilities:

  • Conduct surveillance and monitoring of the Institutional businesses
  • Identify, review and assess trade alerts in SMARTS to determine if circumstances warrant further action
  • Assist and support the surveillance and monitoring of the Cash Equity and Cash Trading businesses as required
  • Monitor and review trading against Restricted and Watch lists
  • Maintain accurate and timely record-keeping of trade reviews performed and trade inquiries issued, providing management oversight reports as requested
  • Respond to telephone and email inquiries from salespersons and institutional trading staff in a timely and effective manner, providing clarification and interpretation of firm policies and applicable industry regulatory requirements
  • Assist with the administration of regional and firm wide policies and procedures
  • Perform front line compliance/supervisory tasks as directed by the Associate Director or CCO
  • Stay current on new rules and regulations
  • If appropriately registered as a supervisor in Canada, review and approval of new institutional client accounts for compliance with all documentary and verification requirements
  • Travel as required, including to New York City, four times per year and other branches as required

About you:

To be successful in this role, you will require:

  • Completion of the Canadian Securities Course (CSC), and Partners, Directors and Officers Course (PDO) and, ideally, prior registration in the category of Supervisor with IIROC.
  • Series 7 or equivalent, and Series 24 would be an asset
  • Basic knowledge and understanding of the United States and Canadian regulatory environment including IIROC, SEC and FINRA rules and regulations with the ability to stay current and articulate them to the business
  • Ideally 3-5 years of Institutional Compliance experience, including (i) IIROC/UMIR, TMX, and MX trade compliance, and (ii) OATS trade compliance and other US Trade Regulatory Reporting (e.g. ACT/TRF, blue sheets, etc.)
  • Familiarity with SMARTS surveillance software and Fidessa order management system
  • The ability to take a pragmatic, commercial approach whilst achieving the desired outcomes
  • Strong communication skills, ability to exercise discretion, work independently, determine priorities and meet deadlines

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