This critical role involves overseeing trading risk controls, the regulatory compliance framework, and operational safeguards for our online trading platform and managed investment programs (including Meta Alpha Edge).



You will ensure the firm operates within defined risk parameters, complies with all SEC/PSE requirements, and maintains strong internal controls to protect our clients and reputation.



Key Responsibilities

1. Trading & Market Risk Oversight

• Monitor trading exposure, margin levels, leverage, and concentration risks.

• Enforce risk limits and escalation procedures.

• Review unusual trading activity and turnover metrics for managed investment strategies.



2. Regulatory Compliance & Governance

• Ensure strict adherence to SRC, SEC regulations, AMLA, KYC, and Data Privacy laws.

• Monitor the licensing of Associated Persons and maintain compliance logs.

• Prepare regulatory reports an...