Surveillance Officer

2 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 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
- 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) 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.
- Stay up to date on industry trends through education sessions and industry seminars

**Skills and Competencies**:
**Must-Haves**
- Post-secondary degree
- At least 5 to 10 years of trading, compliance, supervision experience or in a technology support role in a trading environment
- 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**
- 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
- French (bilingual) would be an asset
- Familiarity with market structure issues would be an asset

**What we offer**:

- Competitive base salary in alignment with market
- Performance based bonus
- Hybrid work environment
- 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. Our mission is to serve Canadians by overseeing investment and mutual fund dealers as well as trading activity on Canada’s marketplaces to ensure safe and equitable trading and investments. As regulators, we understand that we are all investors, and 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 Rig

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