Head of Governance & Transformation
Description
Head of Governance & Transformation
Canaccord Genuity LLC is the U.S. investment banking and capital markets division of Canaccord Genuity Group Inc. (TSX: CF, LSE: CF.), offering institutional and corporate clients idea-driven investment banking, merger and acquisition, research, and sales and trading services. Our team of capital markets and advisory professionals has industry and transactional expertise in key sectors of the global economy. We are committed to providing valued services to our clients throughout the entire lifecycle of their business and operating as a gold standard independent investment bank.
Canaccord Genuity is looking for an experienced, collaborative, and technology-minded professional to join its Trading Compliance & Surveillance team as the Head of Governance & Transformation. This newly created role will help shape how Trading Compliance & Surveillance operates. Reporting directly to the Head of Trading Compliance & Surveillance, you will lead initiatives spanning governance, policies and procedures, regulatory change management, business analysis, technology delivery, data quality, AI adoption, workflow design, and process improvement.
The governance component of the role will also support the broader U.S. Compliance organization. You will work across teams to strengthen accountability, documentation, issue management, regulatory-change implementation, and management reporting, while remaining embedded within Trading Compliance & Surveillance.
Essential Job Functions
- Lead governance initiatives, assessments, issue management, action tracking, regulatory change management, and related reporting.
- Draft, review, and enhance policies, procedures, standards, and other compliance documentation.
- Manage and improve governance tools and processes used across the U.S. Compliance organization.
- Partner with Trading Compliance & Surveillance colleagues to identify business needs, control gaps, data issues, and opportunities to improve accuracy and efficiency.
- Turn business and regulatory needs into clear requirements, process maps, workflow designs, functional specifications, user stories, testing plans, and implementation documentation.
- Work closely with Information Technology and external vendors to design, test, implement, and enhance internally built and third-party solutions.
- Oversee data mapping, data-quality reviews, reconciliations, dashboards, reporting, and the integrity of data flows supporting surveillance and related compliance processes.
- Help define and deliver a coordinated roadmap for technology, governance, data, automation, and process improvement.
- Evaluate the benefits, limitations, and risks of AI-enabled tools and lead practical, responsible use of Microsoft Copilot and other approved solutions.
- Partner with senior management to evaluate vendors, set priorities, monitor delivery, and manage enhancements.
- Prepare clear materials for senior management and governance forums, and train colleagues on new tools, processes, and expectations.
- Lead cross-functional projects that require strong collaboration among Compliance, business, Operations, Technology, and vendor teams.
Required Qualifications
- Approximately 4–12 years of relevant experience within financial services, including experience at a broker-dealer, bank, exchange, trading firm, regulator, financial technology provider, consulting firm, or related organization.
- Demonstrated business-analysis experience, including requirements gathering, workflow design, process mapping, testing, implementation, and project delivery.
- Demonstrated ability to evaluate, implement, or optimize technology, automation, data, and AI-enabled solutions.
- Strong understanding of financial markets, broker-dealer operations, electronic trading, market structure, securities regulation, or related functions.
- Strong working knowledge of Microsoft technologies, including Microsoft 365 and Copilot; experience with Power BI, Power Automate, Power Apps, Excel, Teams, or similar tools is valuable.
- Experience working effectively with technical teams and vendors while representing business and control requirements.
- Excellent written, verbal, and interpersonal communication skills.
- Strong project-management, analytical, organizational, and stakeholder-management abilities.
- Ability to bring clarity to complex issues, manage competing priorities, and drive work through completion.
- Sound judgment, intellectual curiosity, initiative, and a collaborative, team-oriented approach.
- J.D., advanced degree, or relevant professional certification is helpful, but not required.
Driven by your success
A career at Canaccord Genuity means working for a client-centric organization with a global reach across 10 countries. We are driven to achieve for our clients, our shareholders and each other – our people and culture are at the heart of our success. No matter what your role, you have the opportunity to make a positive difference through your ideas and hard work and be rewarded for your performance.
Driven by diversity and inclusivity
Canaccord Genuity is committed to encouraging a diverse workforce and to promoting a respectful and inclusive culture in which everyone has the opportunity to thrive and realize their potential. We recognize that diversity across our business strengthens relationships, enables more innovative solutions for our clients, as well as creating a more stimulating place to work.
Building and developing a truly varied team of talented people from all walks of life is essential for tackling new global challenges, adapting to changing markets and appealing