Person (AP) is unavailable or it is not feasible for the client to work with the AP. Tier-1 Trade Reviews - Post-trade... or the Canadian Securities Course, (or obtain within 30 days of hire) Completion of the Branch Manager’s Course, (or obtain...
across all functions within the branch, while maintaining sustained regulatory compliance. The incumbent is appointed as the Local... with Canadian authorities (regulators) as (1) Chief Compliance Officer (CCO); (2) Chief Privacy Officer and directly supervising...