Current jobs related to Surveillance Officer - Toronto - CIRO OCRI

  • Surveillance Officer

    3 weeks ago

    Toronto, Canada Investment Industry Regulatory Organization of Canada (IIROC) Full time

    **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...

  • Surveillance Officer

    3 days ago

    Toronto, Canada Investment Industry Regulatory Organization of Canada (IIROC) Full time

    **Position Title: Surveillance Officer** **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...

  • Surveillance Officer

    4 days ago

    Toronto, Canada CIRO OCRI Full time

    **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...

  • Surveillance Officer

    5 months ago

    Toronto, Canada CIRO OCRI Full time

    **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...

  • Compliance Officer, Surveillance

    2 weeks ago

    Toronto, Canada CI Financial Full time

    CI Financial is an independent company offering global wealth management and asset management advisory services through a diverse group of financial services firms. Since 1965, we have consistently anticipated and responded to the changing needs of investors. We are driven by a commitment to provide individuals and institutions with the highest-quality...

  • Compliance Officer, Surveillance

    7 months ago

    Toronto, Canada CI Financial Full time

    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...

  • Compliance Officer, Surveillance

    2 weeks ago

    Toronto, Canada CI Financial Full time

    CI Financial is an independent company offering global wealth management and asset management advisory services through a diverse group of financial services firms. Since 1965, we have consistently anticipated and responded to the changing needs of investors. We are driven by a commitment to provide individuals and institutions with the highest-quality...

  • Compliance Officer, Trade Surveillance

    3 months ago

    Toronto, Canada Scotiabank Full time

    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,...

  • Associate Compliance Officer, Trade Surveillance

    7 months ago

    Toronto, Canada BMO Financial Group Full time

    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...

  • Compliance Officer, Trade Surveillance

    7 months ago

    Toronto, Canada Scotiabank Full time

    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...

  • Compliance Officer, Trade Surveillance

    1 week ago

    Toronto, Canada Scotiabank Full time

    Requisition ID: 170657 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...

  • Compliance Officer, Trade Surveillance

    7 months ago

    Toronto, Canada Scotiabank Full time

    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...

  • Senior Compliance Officer for Wealth Management Surveillance

    3 weeks ago

    Toronto, Ontario, Canada RBC Full time

    About the OpportunityWe are seeking a highly skilled Senior Compliance Officer to join our Wealth Management Surveillance team at RBC. This is an exciting opportunity for someone who is passionate about compliance and risk management to make a meaningful impact in an ever-evolving environment.

  • Surveillance Detection

    2 weeks ago

    Toronto, Canada US Embassy and Consulates in Canada Full time

    Hiring Path: - Open to the public Who May Apply/Clarification From the Agency: For USEFMs: LE-4 is equivalent to FP-AA. Actual LE/FP salary determined by Washington D.C. All Interested Applicants / All Sources Security Clearance Required: Public Trust - Background Investigation Appointment Type Permanent Appointment Type Details: Marketing...

  • Surveillance Detection

    7 months ago

    Toronto, Canada US Embassy and Consulates in Canada Full time

    Hiring Path: - Open to the public Who May Apply/Clarification From the Agency: For USEFMs: LE-4 is equivalent to FP-AA. Actual LE/FP salary determined by Washington D.C. All Interested Applicants / All Sources Security Clearance Required: Public Trust - Background Investigation Appointment Type Permanent Appointment Type Details: Marketing...

  • Surveillance Operator

    2 days ago

    Toronto, Canada Casino Nanaimo Full time

    **Position Summary** Under the general direction of the Surveillance Supervisor or designate a Surveillance Operator is responsible for the day to day monitoring of daily activities of the Casino via close circuit television. Ensures that all mandates from the Alcohol and Gaming Commission and OLG are adhered to. Ensures adherence to the Company's policies...

  • Trade Surveillance Analyst

    2 days ago

    Toronto, Canada Select Vantage Canada Inc Full time

    **Trade Surveillance Analyst** Select Vantage is the only trading firm that marries human judgement with advanced technology on a global scale. We offer a common trading, education, risk-management, compliance, and surveillance platform to over 2500 traders in more than 50 countries. We are looking for individuals to join our team as a Trade Surveillance...

  • Surveillance Technician

    5 days ago

    Toronto, Canada Shorelines Casino Peterborough Full time

    **Position Summary** Under the general direction of the Manager, Surveillance, this position is responsible for the installation and maintenance of video and access control equipment. Ensures adherence to the Company's policies and procedures, motivates and leads by example and supports Great Canadians learning environment while establishing a safe and...

  • Ecommunications Surveillance Specialist

    7 days ago

    Toronto, Canada Scotiabank Full time

    Requisition ID: 152490 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **Job title**: **The team**: Scotiabank’s Global Technology Solutions (GTS), Solutions Integration & Delivery (SI&D) organization is rooted in understanding our Scotiabank business lines and technologies and collaborating with our...

  • Compliance Advisor, Market Surveillance

    2 weeks ago

    Toronto, Canada Richardson Wealth Full time

    Position Overview The primary responsibilities of the Compliance Advisor, Market Surveillance is to conduct compliance monitoring and to act as resource for Advisors and employees regarding industry regulations that must be adhered to within the firm. This role will be geared towards market surveillance activities to help ensure that the firm and its...

Surveillance Officer

2 months ago

Toronto, Canada CIRO OCRI Full time

**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 marketplace; and executes the timely disclosure policies of Canadian exchanges to ensure all investors are trading with equal access to information.

**Core Responsibilities**:

- Communicate daily with dealers, issuers and marketplaces on a variety of topics that include market manipulation reviews, issuer timely disclosure, marketplace disruption,
- Immediate review of Listed Issuer Press Releases to assess materiality, balance and appropriateness in light of relevant exchange rules and securities legislation and referral to appropriate officials
- Decide when it is necessary to halt trading to ensure full & fair dissemination of news.
- Monitor trading activity to ensure dealer compliance with Universal Market Integrity Rules (UMIR) and market volatility controls using real-time surveillance systems as well as analysis of historical activity.
- Analyze trading patterns to identify breaches of the trading rules, including illegal insider trading.
- Assist marketplaces with certain market quality issues
- Provide assistance in developing new detection tools and responding to evolving trading patterns and exchange facilities.
- Collaborate with CIRO Geologist, regulatory peers and all marketplaces to ensure orderly and efficient market operations.
- Stay up to date on industry trends through industry education sessions, internal cross training and team building exercises.

**Skills and Competencies**:
**Must-Haves**
- Post-secondary degree
- At least 5 to 10 years of trading, compliance, supervision experience or investor relations
- Completion of the Canadian Securities and Trader Training courses
- Knowledge of trading and marketplace rules
- Knowledge of Securities Legislation
- Must Have confidence and experience working with large data sets, using business tools, specifically Excel’s advance features:
- Pivot tables;
- Formulas and calculations;
- Macros; and
- Linking sheets and merging data
- Ability to develop a thorough understanding of CIRO policies and procedures in order to ensure market integrity of the Canadian marketplace
- Strong interpersonal and communication skills
- Ability to work under pressure and use good judgment in demanding time sensitive environment and make competent decisions/recommendations
- Excellent organizational and analytical skills
- Good understanding of the various departments in CIRO to be able to efficiently source information and advice
- Ability to work independently and in a team environment
- Detail oriented

**Nice-to-Haves**
- French (bilingual) would be an asset
- Familiarity with market structure issues would be an asset
- Completion of the Derivatives Fundamentals course would be an asset
- Familiarity with various asset classes (derivatives, fixed income, repos and FX) would be an asset

**What we offer**:

- Competitive base salary in alignment with market
- Performance based bonus
- Hybrid work environment upon demonstrating ability to work independently
- Employer paid Health Benefits and Spending Account that offer flexibility to meet your individual or family needs as of day one.
- Defined Contribution Pension Plan with company matching that starts on your first day of employment.
- Paid flex days and sick days
- Vacation days
- MLOA/PLOA top up Paid continuous learning and continuing development as well as designation.

**Why the Canadian Investment Regulatory Organization (CIRO)**:
**Our purpose and our impact**:
With offices across Canada - from Vancouver to Montreal, our mission is to promote healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures. As a regulator, we understand that we are all investors. Therefore, a career with us is a career with purpose, protecting our future.

**Culture and Working Environment**:
Life at CIRO is purpose and performance
- driven. We foster an inclusive culture where teamwork, a forward-thinking attitude, and integrity are at the core of everything we do. This creates an environment where employees thrive, grow, and are empowered to learn and contribute their best.

Joining CIRO means becoming part of a dynamic and transparent organization that values accountability and is committed to maintaining the highest standards of regulatory oversight in the financial industry.

Looking for a career where you can safeguard the integrity of Canadian markets? Join CIRO and be part of the team that secures our financial future.

**Our Commitment**:
CIRO is an equal opportunity employer and is committed to providing employment accommodation in accordance with the Ontario Human Rights Code and th