Surveillance Officer

**Position Title: Surveillance Officer (ID)** **Department: Market Surveillance** **Region: Toronto** **Status: Permanent Full-Time (Hybrid)** As a vital member of the Market Surveillance team, you will utilize cutting edge technology and data analysis techniques to monitor trading, protect market integrity and administer CIRO's UMIR rules. You’ll gain...

**Position Title: Surveillance Officer** **Department: Market Surveillance** **Region: Toronto** **Status: Permanent Full-time (Hybrid)** **Day in the life of**: The Surveillance Officer provides real time equity market surveillance in order to ensure the market integrity of the Canadian marketplace; and executes the timely disclosure policies of...

**Position Title: Surveillance Officer** **Department: Market Surveillance** **Region: Toronto, Montreal, Vancouver** **Status: Permanent Full-time (Hybrid)** **Target Hiring Range: $75,000 - $90,000** **Day in the life of**: The Surveillance Officer provides real time equity market surveillance in order to ensure the market integrity of the Canadian...

Job SummaryWe are seeking a highly skilled Compliance Officer, Surveillance to join our team at CI Financial. This role is responsible for conducting daily and monthly reviews of client account activity, identifying trends, and escalating concerns to the Manager of Trade Surveillance.Key Responsibilities- Conduct daily and monthly reviews of client account...

Job SummaryWe are seeking a highly skilled Compliance Officer, Surveillance to join our team at CI Financial. This role will be responsible for conducting daily and monthly reviews of client account activity, identifying trends, and escalating concerns to the Manager of Trade Surveillance.Key ResponsibilitiesConduct daily and monthly reviews of client...

Job Description WHAT YOU WILL DO -Conduct, monitor and document daily and monthly head office reviews of client account activity with a focus on criteria outlined in CIRO (mutual fund dealer and investment dealer) rules, other regulations, and corporate guidelines and policies -Identify trends developing in trading of specific advisors and/or client...

At CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an opportunity to grow through stretching themselves, where they can work on innovative products and projects, and where employees are supported and engaged in doing so. JOB...

Job Title: Senior Compliance Officer, Trade SurveillanceRequisition ID: 205599Scotiabank is seeking a highly skilled Senior Compliance Officer to join our Trade Surveillance team. As a key member of our team, you will be responsible for conducting capital markets trading related surveillance, monitoring, and support for our Global Banking and Markets &...

Key ResponsibilitiesThe Senior Compliance Officer, Trade Surveillance will directly conduct capital markets trading related surveillance, monitoring, and support for the Global Banking and Markets & Treasury business division of Scotiabank. This role is responsible for carrying out certain Tier 2 compliance activities for assigned internal business groups in...

Requisition ID: 205599 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Purpose The objective of the Senior Compliance Officer (SCO) is to directly conduct capital markets trading related surveillance, monitoring and support for the Global Banking and Markets & Treasury (“GBM&T”) business...

Requisition ID: 208545 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **Purpose** Contributes to the overall success of the Global Compliance Trade Surveillance Department (“GCTS”) within Global Banking and Markets & Treasury (“GBM&T”) Compliance in Canada, ensuring specific individual goals,...

100 King Street West Toronto Ontario,M5X 1A1 **Note this is a 1-year contract opportunity.** BMOII’s Trade Surveillance team within the Legal, Regulatory, Compliance and Procurement Group (LRCP) has an opening for an Associate Compliance Officer (1-year contract) who will be responsible for conducting daily and monthly trade surveillance activities for...

Requisition ID: 188102 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **_ Purpose_** Contributes to the overall success of the Global Compliance Trade Surveillance Department (“GCTS”) within Global Banking and Markets & Treasury (“GBM&T”) Compliance in Canada, ensuring specific individual...

Requisition ID: 189302 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **_ Purpose_** Contributes to the overall performance of the Global Compliance Trade Surveillance Department (GCTS) within Global Banking and Markets & Treasury (“GBM&T”) Compliance in Canada. Activities are focused on specific...

Job SummaryScotiabank is seeking a seasoned Compliance Officer to join our team as a Global Surveillance Expert. In this role, you will be responsible for conducting capital markets and retail trading related surveillance and supporting the Global Banking and Markets & Treasury business divisions.Key ResponsibilitiesChampion a customer-focused culture to...

Job SummaryAs a Compliance Officer, Trade Surveillance, you will play a critical role in ensuring the integrity of our trade surveillance program. You will be responsible for conducting post-trade market-related surveillance, reviewing securities trade transactions, and identifying suspicious or high-risk activities.Key ResponsibilitiesChampion a...

Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Purpose Contributes to the overall success of the Global Compliance Trade Surveillance Department (“GCTS”) within Global Banking and Markets & Treasury (“GBM&T”) Compliance in Canada, ensuring specific individual goals, plans, initiatives are...

Requisition ID: 208545Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Purpose Contributes to the overall success of the Global Compliance Trade Surveillance Department (“GCTS”) within Global Banking and Markets & Treasury (“GBM&T”) Compliance in Canada, ensuring specific individual goals, plans,...

Requisition ID: 208545Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.PurposeContributes to the overall success of the Global Compliance Trade Surveillance Department (“GCTS”) within Global Banking and Markets & Treasury (“GBM&T”) Compliance in Canada, ensuring specific individual goals, plans,...

Job OverviewAs a Senior Manager, Capital Markets Trade Surveillance, you will be part of the RBC Compliance Surveillance Team, playing a critical role in the bank's second line-of-defense function. This team works closely with the first line and the third line (Internal Audit) to ensure the effective monitoring of trading activity and communications for...