Surveillance Officer

4 days ago

Toronto, Canada Investment Industry Reg Org of Canada Full time

**Position Title**:
**Department**:
**Region**:
**Status**:
**Surveillance Officer**
**Market Surveillance**
**Toronto, Montreal, Vancouver**
**Permanent Full-time (2 positions)**

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 IIROC’s UMIR rules. You’ll gain exposure to the finer points of market structure and asset classes and liase with senior management and compliance staff across IIROC’s dealer community.

The Surveillance team is also responsible for administering timely disclosure. As Surveillance Officer you will monitor for unusual trading patterns of equities while liaising 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,
- 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

**Education/Experience**:

- 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
- Completion of the Derivatives Fundamentals course would be an asset
- French (bilingual) would be an asset

**Key Skills and Competencies**:

- Knowledge of trading and marketplace rules
- Knowledge of Securities Legislation
- Familiarity with various asset classes (derivatives, fixed income, repos and FX) 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 IIROC 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 IIROC to be able to efficiently source information and advice
- Ability to work independently and in a team environment
- Detail oriented
- Familiarity with market structure issues would be an asset
- While we appreciate all applicants, only those who most closely match the position requirements will be contacted for interview._

UMIR #captialmarkets #hiring #excel #analytical $canadiansecuritiescourse #regulatory

  • Surveillance Officer

    5 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 New SRO's UMIR rules. You’ll gain...

  • Surveillance Officer

    2 weeks ago

    Toronto, ON, Canada CIRO Full time

    Position Title: Surveillance Officer Department: Market Surveillance Location: Toronto Status: Regular Full-time (Hybrid) Day in the life of: As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) is committed to setting high regulatory standards for the investment industry, safeguarding investors, and supporting the...

  • Surveillance Officer

    2 weeks ago

    Toronto, ON, Canada CIRO Full time

    Position Title: Surveillance Officer Department: Market Surveillance Location: Toronto Status: Regular Full-time (Hybrid) Day in the life of: As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) is committed to setting high regulatory standards for the investment industry, safeguarding investors, and supporting the...

  • Surveillance Officer

    5 days 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...

  • Surveillance Officer

    2 weeks ago

    Toronto, Canada CIRO OCRI Full time

    Join to apply for the Surveillance Officer role at CIRO/OCRI. Day in the life of: As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) is committed to setting high regulatory standards for the investment industry, safeguarding investors, and supporting the integrity of Canada’s capital markets. Join a growing team and...

  • Surveillance Officer

    2 weeks ago

    Toronto, Canada CIRO OCRI Full time

    Join to apply for the Surveillance Officer role at CIRO/OCRI. Day in the life of: As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) is committed to setting high regulatory standards for the investment industry, safeguarding investors, and supporting the integrity of Canada’s capital markets. Join a growing team and...

  • Surveillance Officer

    2 weeks ago

    Toronto, Ontario, Canada CIRO OCRI Full time

    Position Title: Surveillance OfficerDepartment: Market SurveillanceLocation: TorontoStatus: Regular Full-time (Hybrid)Day in the life of:As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) is committed to setting high regulatory standards for the investment industry, safeguarding investors, and supporting the integrity...

  • Compliance Officer, Surveillance

    2 weeks 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

    2 weeks 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 goals,...