Compliance Officer, Trade Surveillance

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,...

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...

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: 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 Description About Us: Fidelity Clearing Canada (FCC) is the leading independent clearing broker and custodian in the Canadian market. We provide trade execution, clearing, custody and back-office support services to Canadian-based brokerage firms and the Canadian brokerage arms of U.S.based firms. For more information about Fidelity Clearing Canada,...

We are seeking a seasoned Senior Compliance Officer to join our team at TD Securities, responsible for overseeing the surveillance program for market abuse and electronic communications in Canada. Reporting to the Managing Director and Global Head of Surveillance, this individual will lead a team of compliance professionals in reviewing and enhancing the...

Requisition ID: 210469 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **Purpose** The objective of the Compliance Officer (CO) is to directly conduct capital markets and retail trading related surveillance and support for the Global Banking and Markets & Treasury (“GBM&T”) and Wealth Management...

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 Overview:The Senior Compliance Surveillance Manager is responsible for leading a team of compliance professionals in overseeing, reviewing, and enhancing the surveillance program for market abuse and electronic communications. This role reports to the Managing Director and Global Head of Surveillance for TD Securities and the Chief Compliance Officer for...

**Position Title: Surveillance Officer** **Department: Market Surveillance** **Region: Toronto** **Status: Fixed-term - 10 months (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 New SRO's UMIR rules. You’ll...

**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...

   Requisition ID: 210731Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. PurposeThe objective of the Compliance Officer (CO) is to contributes to the overall performance of the Global Compliance Trade Surveillance Department (GCTS) within Global Banking and Markets & Treasury (“GBM&T”) Compliance...

Trade Conduct Compliance/Telework or Hybrid /Quebec City, Montreal or Toronto/Permanent/Desired start date: As soon as possible_ Are you passionate about the financial markets and pride yourself on meticulous attention to detail? iA Private Wealth needs you to help support their mission and ensure that trading practices uphold the highest standards of...

**_Trade Conduct _**_Compliance/Telework/Quebec_**_ City, Montreal, _**_Toronto/Permanent/Desired_**_ start date: As soon as possible_** Do you consider yourself a passionate of the financial markets and you are detail oriented? iA Private Wealth needs you to help support their mission. **More precisely, you can expect the following responsibilities**: -...

**About the Role**: The Compliance Officer (“CO”) contributes to the overall performance of the Regulatory Compliance Department within Coinsquare Capital Markets Limited (“CCML”). CCML is registered across Canada as an investment dealer and is a dealer and marketplace member of the New Self Regulatory Organization of Canada (“New SRO”). CCML is...

Questrade Financial Group (QFG) of Companies is committed to helping our customers become much more financially successful and secure. We are everything a traditional financial institution is not. At QFG, you will be constantly moving forward, bringing the future of fintech into existence. You will be a part of a collaborative team that cares deeply about...

**Job Summary** **What is the opportunity?** **What will you do?** - Drive Surveillance projects by working with business and technology teams to resolve issues. Examples of these projects include: Working with the firms Governance teams (such as AI Governance, Model Validation, Data Privacy) to get a new machine learning model approved for Surveillance;...

Requisition ID: 156203 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Scotiabank’s Information Technology and Solutions provides global technology solutions support to each of our core businesses - Domestic Banking, International Banking, Global Banking & Markets and Global Wealth & Insurance. Our...