Responsible for all compliance programs at IIROC-member firm. Functions include maintaining policy and procedures manual, revieiwing daily and monthly trading activity and all NRD and client account opening forms and documentation. Position reports to the Chairman of the Board. Candidates MUST have passed the Chief Compliance Officer exam and must be eligible to be registered as the Chief Compliance Officer and Chief Client Complaint Officer immediately upon hire.
Toll Cross is primarily an institutional trading operation with a small private client base. This is a niche operation and the CCO will work independantly with no support staff.
Please do not apply if you do not meet this minimum criteria.