• Senior Compliance Officer

    Location CA-ON-Toronto
    Date posted 2 months ago(10/23/2018 3:47 PM)
    Corporate professionals
    Position type

    ITG is looking for an outgoing, experienced Compliance Officer to join our Toronto Compliance team.


    Investors around the world receive better returns because of the work we do every day. From traders to technologists and everyone in between, ITGers are passionate about innovating, solving problems and making an impact on the bottom line. Our teams set the bar high and strive to consistently provide best-in-class service to institutional investors around the world.


    • Provide the business with real-time regulatory guidance
    • Assess the impact of new rules and regulatory actions
    • Oversee the analysis of client trading activity
    • Support the account opening process
    • Identify and escalate to the Chief Compliance Officer possible regulatory trading infractions
    • Perform quarterly internal audits
    • Create draft responses and ensure timely and accurate responses for regulatory reporting
    • Help to update firm policies and procedures to ensure they comply with regulatory requirements
    • Review and update client files and risk limits
    • Help manage regulatory and internal examinations
    • Lead special projects for strategic compliance initiatives


    • Solid understanding of Universal Market Integrity Rules (UMIR)
    • Knowledge of IIROC rules and reporting requirements
    • Working knowledge of Anti-Money Laundering (AML) requirements
    • Interest or experience in Risk Management
    • Post-graduate degree in related discipline and 5+ year of work experience
    • Ability to recognize and properly handle sensitive and confidential information
    • Strong report-writing skills
    • Curiosity, engagement and strong attention to detail
    • Reliable and prompt follow through on high-priority deliverables
    • Superior written and oral communication skills
    • Sharp analytical skills and curiosity about markets and trading
    • Proficiency with MS Office (Word, Excel, and Outlook)
    • Tactful and diplomatic, with a high level of ethics and integrity


    • A smaller team environment with 3-10 professionals
    • A great place for upward and geographic mobility
    • Direct exposure to the decision makers and senior leaders on all sides of the business
    • The energetic dynamism of financial markets
    • Teams that are passionate about continually learning, improving and raising the bar
    • A community that values hard work as well as work-life balance
    • A company that is committed to giving back to surrounding communities, from LA to Hong Kong and Sydney and the 11 locations in between


    Equal Opportunity Employer


    “ITG is committed to treating all people in a way that allows them to maintain their dignity and independence. We believe in integration and equal opportunity. Accommodations are available throughout the recruitment process and applicants with a disability may request to be accommodated throughout the recruitment process. We will work with all applicants to accommodate their individual accessibility needs.”


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