Surveillance Officer

at  Investment Industry Regulatory Organization of Canada IIROC

EDUCATION/EXPERIENCE:

• Post-secondary degree
• At least 5 to 10 years of trading, compliance, supervision 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
• Knowledge of Securities Legislation
• 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
• 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
  While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted.
  New SRO is committed to employment practices that are inclusive and accessible. Accommodations for individuals with disabilities are available. Should you require accommodation, please contact Human Resources.

• 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