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 ensuring pre-trade risk controls.
Role type
Senior IC Regulatory Compliance Manager (Trade Surveillance)
Builds
Trade surveillance alerts, regulatory reports, and risk control policies for Canadian brokerage firms.
Domain
Financial services / Investment dealer / Trade surveillance
Required skills
Trade surveillance operations, Pre-trade risk controls, Regulatory reporting (UMIR, CIRO, FINTRAC), Incident escalation, Policy development, Data analysis
Preferred skills
Derivatives trading experience, CSC designation, Trader training courses
Technologies
Thompson Reuters, Bloomberg, Microsoft Excel, Microsoft Access
Responsibilities
Investigate trade surveillance alerts for manipulative practices, Monitor pre-trade risk controls and limit breaches, Assist with regulatory reporting to FINTRAC/CIRO, Develop and update compliance policies, Train staff on compliance issues, Perform quarterly analytics on flagged orders
Seniority
Mid-Senior, hands-on IC