Compliance

• Lead and oversee the Trade Conduct Compliance team (Compliance Officers, Analysts, Interns), ensuring high performance and accountability
• Develop, adjust, and implement departmental plans and priorities to address operational challenges and support evolving business objectives
• Foster a culture of accountability and continuous professional development through coaching and guidance
• Ensure compliance with industry regulations by proactively adapting strategies and processes
• Serve as a subject matter expert and registered supervisor for trading desks, including Forex, while identifying and mitigating risks in trading activities

Manager, Trade Conduct Compliance

Regulatory and Quality Specialist

Compliance Specialist, Securities – Mutual Funds

Senior Advisor, Governance, IT, Operational Risk and Compliance

Agent de conformité