Regulatory Compliance Manager, Trade Surveillance
Core
Manage daily operations of the Trade Surveillance program and Trade Desk Supervision, investigating alerts for manipulative/deceptive practices and insider trading while ensuring robust pre-trade risk controls.
Role type
Senior IC Regulatory Compliance Manager (Trade Surveillance)
Builds
Trade surveillance alerts, regulatory reports, risk control policies, and management metrics
Domain
Financial services / Investment dealer / Trade surveillance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Trade surveillance operations, pre-trade risk controls, regulatory reporting, policy development, data analysis, incident escalation, staff training
Preferred skills
Derivatives trading experience, CSC designation, options supervisor course
Technologies
Thompson Reuters, Bloomberg, Microsoft Excel, Microsoft Access
Responsibilities
Investigate trade surveillance alerts for manipulative/deceptive practices; monitor pre-trade risk controls and limit breaches; generate regulatory reports for CIRO/FINTRAC; co-author compliance policies; train staff on compliance issues; perform quarterly analytics on flagged orders.
Seniority
Mid-Senior, hands-on IC
