Surveillance Officer
Investment Industry Regulatory Organization of Canada
Toronto, ON
Position Title: Department:Region:Status:
Surveillance Officer
Market Surveillance
Toronto
Full time permanent

The Surveillance Officer provides real time 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.

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
2 -3 years of trading/compliance 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
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
Knowledge of Securities Legislation
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

Although we appreciate all applicants, only those who most closely match job requirements may be contacted for interview.