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Trading Regulatory And Compliance Advisor Jobs

Payroll Compliance Advisor Jobs
By Altis Recruitment At Greater Toronto Area, Canada
Minimum 7+ years of comprehensive payroll processing experience, including year-end requirements and complex inquiries.
Experience in adult education and training.
Proficiency in payroll compliance knowledge and technical job skills, research, and multi-jurisdictional payroll regulations.
Strong analytical thinking, communication, writing, and presentation skills.
Strong knowledge of MS Office.
Payroll InfoLine and Consulting: Provide accurate payroll compliance guidance and assistance to members, conduct research, document findings, and categorize information requests.
Regulatory Compliance Advisor Jobs
By Energy Jobline At Calgary, Alberta, Canada

Airswift has been tasked by one of our major clients to seek for a Regulatory Compliance Advisor to join them on 12-month contract in Calgary, Alberta. Responsibilities: Research, track, and ...

Regulatory And Compliance Specialist
By Trojan Technologies At London, Ontario, Canada
Minimum 2 years Post-secondary education (college or university) in technical or science area required
Experience with Microsoft Office required
Experience in writing technical documents required
It would be a plus if you are also experienced in:
Collaborate with cross-functional teams to gather information and data to ensure compliance with applicable regulations and standards
Coordinate with cross-functional teams to implement product and process changes based on current standards
Sr Advisor Regulatory & Compliance
By Enbridge At Calgary, Alberta, Canada
Equivalent combinations of education and experience in related field may be considered.
7+ years of directly related compliance experience.
Working knowledge of Federal and Provincial Regulations as well as applicable industry standards for pipeline systems.
Establish and build effective relationships with field personnel through pro-active involvement in field activities and a regular presence in the field.
Provide advice, support and regional training, to ensure proper internal and external reporting of pipeline incidents in accordance with company processes.
Provide regulatory compliance support through an on-call rotation to all of our Canadian assets.
Regulatory Compliance Technician Jobs
By FCC / FAC At Kanata, Ontario, Canada
Perform control testing on regulatory requirements
Detailed knowledge of regulatory compliance policy and procedures
Review related documents including policies, procedures, laws and government instruments 
Identify failures and document trends
Build partnerships to support understanding of results
Review inquiries and adjust results as needed
Director Regulatory Compliance Jobs
By GemTek At Ottawa, Ontario, Canada
Manage all compliance work, including compliance monitoring and enforcement program
You have a minimum five years’ experience managing and leading a team, preferably a legal, regulatory or compliance team
You have a minimum one year of experience in either contract law, employment law, privacy law or insurance law
You have experience and good judgment in contract review and interpretation, as well as risk reporting.
You are fluent in English, with excellent written and oral communications skills. French is a nice to have.
Experience working with regulatory procedures and regulatory bodies.

Are you looking for an exciting opportunity to join a fast-growing financial services firm? We are looking for a Trading Regulatory and Compliance Advisor to join our team and help ensure our trading activities are compliant with all applicable regulations. You will be responsible for monitoring and analyzing trading activities, developing and implementing policies and procedures, and providing guidance to the trading team. If you have a passion for financial markets and a strong understanding of regulatory and compliance requirements, this could be the perfect role for you!

An Trading Regulatory And Compliance Advisor is responsible for ensuring that a company complies with all applicable laws and regulations related to trading and financial markets. They provide advice and guidance on regulatory and compliance matters, review and analyze trading activities, and monitor and report on compliance issues. They also develop and implement policies and procedures to ensure compliance with applicable laws and regulations. To become an Trading Regulatory And Compliance Advisor, you will need to have a strong understanding of the financial markets, trading regulations, and compliance requirements. You will also need to have excellent communication and problem-solving skills, as well as the ability to work independently and as part of a team.

Skills required for a Trading Regulatory And Compliance Advisor include:

• Knowledge of financial markets and trading regulations
• Excellent communication and problem-solving skills
• Ability to work independently and as part of a team
• Attention to detail and accuracy
• Ability to interpret and analyze data
• Knowledge of compliance requirements
• Ability to develop and implement policies and procedures
• Ability to identify and address potential compliance issues

Knowledge required for a Trading Regulatory And Compliance Advisor includes:

• Understanding of financial markets and trading regulations
• Knowledge of compliance requirements
• Knowledge of relevant laws and regulations
• Understanding of risk management principles
• Knowledge of financial instruments and products
• Understanding of financial reporting and accounting principles

Responsibilities of a Trading Regulatory And Compliance Advisor include:

• Reviewing and analyzing trading activities
• Monitoring and reporting on compliance issues
• Developing and implementing policies and procedures to ensure compliance with applicable laws and regulations
• Identifying and addressing potential compliance issues
• Advising and providing guidance on regulatory and compliance matters
• Assisting with the preparation of regulatory filings
• Keeping up to date with changes in regulations and industry best practices

Experience required for a Trading Regulatory And Compliance Advisor includes:

• Previous experience in a compliance or regulatory role
• Experience in the financial services industry
• Experience in risk management
• Experience in developing and implementing policies and procedures

Qualifications required for a Trading Regulatory And Compliance Advisor include:

• Bachelor’s degree in finance, accounting, economics, or a related field
• Professional certification in compliance or regulatory matters (e.g. Certified Regulatory and Compliance Professional (CRCP))

Tools that help Trading Regulatory And Compliance Advisors work better include:

• Regulatory and compliance software (e.g. Compliance 360)
• Risk management software (e.g. RiskMinder)
• Financial analysis software (e.g. Bloomberg)
• Data visualization software (e.g. Tableau)

Good tips to help Trading Regulatory And Compliance Advisors do more effectively include:

• Stay up to date with changes in regulations and industry best practices.
• Develop and maintain relationships with key stakeholders.
• Utilize data visualization tools to help identify and address potential compliance issues.
• Develop and implement policies and procedures to ensure compliance with applicable laws and regulations.

Common Trading Regulatory And Compliance Advisor interview questions include:

• What experience do you have in a compliance or regulatory role?
• How do you stay up to date with changes in regulations and industry best practices?
• What strategies do you use to identify and address potential compliance issues?
• How do you develop and implement policies and procedures to ensure compliance with applicable laws and regulations?
• What challenges have you faced in your previous compliance or regulatory roles?