Markets Compliance Officer (Canada & US)

Responsibilities

• US & Canada - Primary Coverage
• Provide second line of defence oversight for the offering of derivatives products in the US and Canada, including forwards, options and other OTC derivatives.
• Act as advisor to the front line sales teams in relation to regulatory requirements applicable to Convera's derivative products.
• Ensure compliance with applicable Canadian Securities Administrators (CSA) and provincial regulatory requirements, including derivatives business conduct and trade reporting obligations.
• Ensure compliance with CFTC requirements applicable to non-swap dealers, including activity-based scope limitations and record-keeping obligations.
• Act as a key compliance liaison with US and Canadian regulators, including supporting regulatory inquiries and examinations as required.
• Perform oversight, monitoring and controls testing across end-to-end derivatives processes, identifying control gaps and remediation actions.
• Escalate material breaches or control failures in accordance with Convera's escalation framework.
• Global / Cross-Regional Responsibilities
• Develop and maintain policies, procedures and controls covering derivatives compliance across Canada and the United States.
• Perform compliance monitoring and support the global Markets Compliance global monitoring and testing program.
• Maintain regulatory horizon scanning for Canadian and US derivatives regulation.
• Support the delivery of derivatives compliance training across North America.
• Work closely with Legal, Risk, Operations and Front Office teams globally.
• Qualifications, Skills and Experience
• University degree in law, finance, economics or a related discipline.
• Experience in markets or derivatives compliance in Canada and/or the United States.
• Strong knowledge of Canadian derivatives regulation and practical understanding of CFTC requirements applicable to non-swap dealers.
• Experience supporting regulatory examinations or audits.
• Strong written and verbal communications skills, including formal presentation skills
• Strong analytical and problem solving skills.
• Well-developed interpersonal skills in a team-oriented environment
• Ability to work independently in a structured and analytical way
• Ability to work in a fast-changing environment with multiple priorities
• Additional Information
• 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.
• About Convera
• 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.
• As a truly global company with employees in over 20 countries, we are passionate about diversity; we seek and celebrate people from different backgrounds , lifestyles, and unique points of view. We want to work with the best people and ensure we foster a culture of inclusion and belonging.
• We offer an abundance of competitive perks and benefits including:
• Competitive salary
• Opportunity to earn a bonus (dependent on performance)
• Great career growth and development opportunities in a global organization
• Corporate benefits
• 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.
• Apply now!
• Pay Transparency Statement
• Convera is committed to transparent, fair, and equitable hiring practices in full compliance with Canadian federal and provincial requirements.
• Compensation: This role pays $95,000 - $140,000 per year + an annual bonus
• AI Use: Convera does not use artificial intelligence to screen, assess, or select applicants.
• Vacancy Status: This posting is for an existing vacancy.
• Canadian Experience: Convera does not require Canadian work experience.
• Benefits: We offer a com

Benefits

Additional Information

We are seeking a motivated and experienced Markets Compliance professional to support the offering of derivatives products across Canada and the United States. 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. This role reports to the Head of Markets Compliance - APAC & North America.

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