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This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for an Associate, Trade Surveillance based in Canada.
This role sits within a fast-paced, regulated investment environment where you will play a key part in monitoring trading activity across multiple asset classes.
You will be responsible for conducting daily trade surveillance reviews, analyzing alerts, and identifying potentially unusual or non-compliant trading behaviour.
The position involves both automated and manual review work, requiring strong analytical judgment and attention to detail.
You will collaborate closely with cross-functional teams including compliance, legal, trading, engineering, and operations to support regulatory obligations and ongoing initiatives.
A key aspect of the role is escalating and documenting findings, contributing to investigations, and supporting regulatory reporting and audits.
This is an excellent opportunity for a compliance professional who enjoys investigative work, data-driven analysis, and continuous improvement in a modern financial technology environment.
Accountabilities:
- Conduct daily Tier 1 trade surveillance reviews across multiple asset classes including equities, options, crypto, futures, and other instruments.
- Review and action automated surveillance alerts, as well as perform manual monitoring of trading activity.
- Analyze client trading behaviour to identify potential market abuse, policy breaches, or regulatory concerns.
- Investigate suspicious activity and prepare clear escalation reports for further review or action.
- Support regulatory submissions, audits, and external examinations related to trade surveillance.
- Assist in maintaining and improving surveillance policies, procedures, and alert tuning processes.
- Contribute to effectiveness testing of surveillance controls and risk monitoring frameworks.
- Collaborate with internal teams to promote compliance awareness and ensure alignment with regulatory requirements.
- Document findings accurately and participate in knowledge sharing and team discussions.
- Ensure daily activities align with the firm’s risk appetite, compliance standards, and regulatory obligations.
Requirements:
- 3+ years of experience in investment industry compliance, preferably within trade surveillance or market surveillance functions.
- Strong knowledge of Canadian securities regulations, including UMIR and CIRO Dealer Member rules.
- Excellent analytical skills with strong attention to detail and sound judgment in ambiguous situations.
- Experience working with data tools such as SQL or Python; familiarity with analytics platforms is an asset.
- Strong communication and interpersonal skills with the ability to collaborate across technical and non-technical teams.
- Ability to connect regulatory requirements with real-world trading and business scenarios.
- Strong problem-solving mindset with a proactive and investigative approach.
- Nice to have: CIRO supervisory registration eligibility or completion of relevant securities and derivatives licensing.
- Nice to have: exposure to cryptocurrency or blockchain-based trading environments.
Benefits:
- Competitive compensation package aligned with industry standards.
- Comprehensive health, dental, and life insurance coverage.
- Employer-matched long-term savings plan.
- Generous paid time off including vacation, wellness days, and flexible sick/mental health days.
- Remote and hybrid flexibility with opportunities to work from different locations for part of the year.
- Strong focus on learning, development, and career growth in a high-performing environment.
- Inclusive workplace culture with employee resource groups and collaborative teams.
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