Associate, Trade Surveillance

In this role you will be responsible for

• Conduct daily Tier 1 trade surveillance reviews across equities, options, crypto, futures, predictions, and potentially other asset classes
• Action automated alerts from the firm's surveillance platform and conduct manual supervisory reviews as assigned
• Analyze client trading activity to identify patterns inconsistent with regulatory requirements or firm policies
• Investigate potentially suspicious activity and prepare escalation reports
• Handle regulatory submissions related to trade surveillance matters
• Support regulatory audits and examinations
• Assist in developing and maintaining surveillance policies, procedures, and alert tuning
• Educate business teams on trade surveillance requirements and promote compliance across the organization
• Participate in effectiveness testing of surveillance controls
• Contribute to team discussions, investigations, and knowledge sharing
• Understanding how the firm’s risk appetite and risk culture should be considered in day-to-day activities and decisions.

We're looking for someone who brings

• 3+ years of investment industry compliance experience, preferably in trade surveillance
• Knowledge of Canadian securities regulations including UMIR and CIRO Dealer Member rules
• Strong analytical skills with superior attention to detail and sound judgment in ambiguous situations
• Technical proficiency with SQL or Python (experience with Preset or similar analytics platforms is an asset)
• Excellent interpersonal and communication skills; ability to collaborate effectively across teams
• Problem-solving mindset with the ability to link regulatory requirements to business realities

Nice to Haves

• Regulatory proficiency - Satisfies either new or old CIRO requirements to be registered as Supervisor: Securities and Options
• New proficiency requirements: passed the following exams:
• Canadian Investment Regulatory Exam
• Retail Securities Exam
• Derivatives Exam
• Supervisor Exam, OR
• Old proficiency requirements: completed the following courses:
• Canadian Securities Course,
• Conduct and Practices Handbook,
• Derivatives Fundamentals and Options Licensing,
• Options Supervisor Course,
• Investment Dealer Supervisors Course
• Experience and/or knowledge in Blockchain Technology and cryptocurrency.