Junior Trade Desk Compliance Officer

Red Cloud Securities Inc. is a specialized capital markets firm focused on improving access to capital for small public and private companies in the mining sector. Founded by experienced capital markets professionals, the firm offers a comprehensive platform that includes Corporate Advisory, Investment Banking, Research, Retail and Institutional Trading, and Liquidity services. Role Description The Junior Trade Desk Compliance Officer will work closely with our senior Compliance team to monitor trading activity, identify potential compliance concerns and assist with the firm's daily trade desk supervision program. The successful candidate will learn to apply CIRO and UMIR requirements to real-world trading activity and will progressively take on greater responsibility for trade surveillance and supervision. This is a hands-on role that will involve working closely with traders, sales personnel, operations and the broader Compliance team. Compensation Salary range for this position is $55,000 - $65,000 with eligibility for a discretionary bonus. Qualifications 1–3 years of experience in financial services, securities, compliance, operations, trading or a related field, with the ability to understand and apply relevant securities regulations and internal policies. Strong analytical skills, including attention to detail, data review, and the ability to identify patterns, exceptions, and potential compliance risks. Effective communication skills, both written and verbal, to interact with trading, operations, management, and external stakeholders in a clear and professional manner. Post-secondary education in finance, business, economics, or a related field; progress toward or willingness to complete industry courses towards registration. Hybrid working environment, based in Toronto, with a minimum of three days per week in the office. Please note that the role will initially require a greater on-site presence as the successful candidate becomes familiar with our systems, processes, and workflows. A successful candidate should be confident in their ability to manage multiple tasks while maintaining confidentiality and high ethical standards. Proficiency with standard office software and comfort working with trade data, reports, and compliance systems; experience with trade surveillance tools is an advantage. Curiosity and skills for AI implementation is an asset. Career Development This position is intended to provide a strong foundation for a career in Compliance and Trade Desk Supervision. The successful candidate will have the opportunity to progressively assume additional responsibilities as their knowledge and experience develop, including independent surveillance reviews, investigations, regulatory reporting and participation in the firm's broader UMIR supervision program

The role involves monitoring trading activity and assisting with the daily trade desk supervision program to identify compliance concerns. The officer will apply CIRO and UMIR requirements to real-world trading and collaborate with traders, operations, and the compliance team.

Candidates need 1-3 years of experience in financial services or compliance and a post-secondary degree in finance, business, or economics. Proficiency in office software and a willingness to complete industry registration courses are required.

• Discretionary Bonus

Relevées dans la description du poste. Confirmez les exigences importantes ci-dessus.

• Trade Surveillance
• Compliance Monitoring
• Analytical Skills
• Data Review
• Written Communication
• Verbal Communication
• Securities Regulations
• Internal Policy Application
• Trade Data Analysis
• AI Implementation

• Finance & Accounting
• Legal
• Consulting

Formation minimale

Baccalauréat

Expérience minimale

2+ ans

Postuler avant le

17 sept. 2026

Langue de l’offre

anglais

Heures de travail

40 heures par semaine

Présence au bureau

3 jours par semaine

Niveau d’expérience

Mid-Senior level

Mode de candidature

La candidature directe est offerte