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 gain exposure to the finer points of market structure and asset classes while liaising with senior management and compliance staff across New SRO's dealer community. You play a critical role on the front lines in protecting the reputation of the regulatory environment in Canada. The decisions in this role can have broad financial implications.

The Market Surveillance team also administers the Timely Disclosure Policies of the exchanges. As Surveillance Officer, you will monitor for unusual trading patterns of equities while maintaining dialogue with senior officers and directors from Canadian-listed companies about news releases and timely disclosure.

**Key Responsibilities**:

- Communicate daily with dealers, issuers and marketplaces on a variety of topics that include market manipulation reviews, issuer timely disclosure, marketplace disruption - in a timely, clear, and concise manner
- Immediate review of Listed Issuer Press Releases to assess materiality, balance and appropriateness in light of relevant exchange rules and securities legislation
- Ideate unique solutions to ad hoc challenging situation when interacting with internal and external stakeholders. This requires strong foundational knowledge of the market and how it works.
- Synthesize information from multiple sources to decide when it is necessary to halt trading to ensure full & fair dissemination of news (judgement call).
- Accountable to escalate matters appropriately, as required
- Carry out several tasks simultaneously during active surveillance activities
- 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 and data analytics to identify breaches of the trading rules, including illegal insider trading.
- Assist marketplaces with certain market quality issues
- Assist with the design and development of new (automated) detection tools and respond to evolving trading patterns and exchange facilities. Interact with IT on the specific design and testing of new surveillances tools.
- Optimize workflows & areas where surveillance processes and coverage can be improved to maximize the value of the team’s work
- Stay up to date on industry trends through education sessions and industry seminar

**Education/Experience**:

- Post-secondary degree
- 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
- Completion of the Derivatives Fundamentals course considered an asset
- Participation in the CFA program considered an asset
- Knowledge of NI-43-101 [mining], NI 51-101 [oil & gas] considered an asset
- French (bilingual) considered an asset
- Coding skills considered an asset

**Key Skills and Competencies**:

- Able to work in a fast-paced, real-time environment
- Ability to work under pressure and use good judgment in demanding and time sensitive environment and make competent decisions/recommendations
- Ability to manage stress and difficult (critical) interactions
- Strong analytical problem solver who is willing to ask questions and think creative rapidly.
- Excellent organization & prioritization skills, and ability to work without compromising quality.
- Familiarity with various asset classes (equities, derivatives, fixed income, repos, FX, crypto) and market structure would be an asset
- 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 New SRO policies and procedures in order to ensure market integrity of the Canadian marketplace
- Strong command of the English language, both written and verbal
- Excellent organizational and analytical skills
- Good understanding of the various departments in New SRO to be able to efficiently source information and advice
- Ability to work independently and in a team environment
- Detail oriented

New SRO is committed to employment practices that are inclusive and accessible. Accommodations for individuals with disabilities are available. Should you require accommodation, please contact Human Resources.

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