Reporting to the CCO, the Senior Compliance and Market Data Solutions Specialist helps develop the organization’s risk management processes, internal controls and policies to ensure a safe and compliant environment at all times. This role also supports CanDeal’s market data solutions business in the set-up of license agreements, as well as the capture and maintenance of client contact and product information.
- Works with CCO to develop a comprehensive and systematic risk management process that proactively identifies, assesses, manages and controls regulatory, business and process risks.
- Works with various departments to develop, maintain and monitor adherence to effective internal control systems to ensure a safe environment and compliance with applicable laws, rules, regulations and policies (e.g. securities, IIROC, etc.). Reviews and monitors internal controls to evaluate efficiency, identify deficiencies, and ensure they are addressed.
- Enhances, implements and manages written security compliance policies, standards and procedures; maintains a common directory for these and any related forms, training and awareness documentation or other security compliance material.
- Acts as an ambassador for, and representative of CanDeal’s market data solutions business and its stakeholders
- Establishes and maintains a statement of policies which govern use, redistribution, display and non-display, and reporting of market data for CanDeal’s market data solutions platform.
- Prepares, revises and manages established market data license agreements, including exhibits and policies. Sets up and manages market data solutions reporting and tracking, based on type of content, product, client, display or non-display usage, etc.
- Stays current with market data best practices, market data regulations and communicates updates internally to support management decision making.
- Assesses clients’ needs and resources and recommends market data products accordingly.
- Sets up and maintains client/admin contact details and maintains Salesforce with up-to-date and accurate client records for tracking accountabilities, progress, call reports, etc.
- Bachelor’s degree is preferred.
- Minimum of five (5) years of regulator proficiency with CRM software. Basic knowledge of Salesforce is an asset.
- Makes recommendations to managers on compliance-related matters.
- Provides input to the CCO for the development of securities and compliance-related policies, procedures and guidelines.
- Identifies and assesses regulatory control risks, and reviews and monitors internal control risks, and reports these to the CCO.
If you have the skills we’re looking for, please apply below.
Thank you to all applicants but only those of interest will be contacted. CanDeal welcomes and encourages applications from people with disabilities. Accommodations are available on request for candidates taking part in all aspects of the selection process.