Surveillance Officer

Canadian Investment Regulatory Organization
CA - Quebec - Montreal
November 15, 2024

40 Temperance Street
Suite 2600
Toronto, ON M5H0B4, CAN

The Surveillance Officer provides real time equity 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.

Core 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 and referral to appropriate officials
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) and market volatility controls 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.
Collaborate with CIRO Geologist, regulatory peers and all marketplaces to ensure orderly and efficient market operations.
Stay up to date on industry trends through industry education sessions, internal cross training and team building exercises.

Skills and Competencies:

Must-Haves

Post-secondary degree
At least 5 to 10 years of trading, compliance, supervision experience or investor relations
Completion of the Canadian Securities and Trader Training courses
Knowledge of trading and marketplace rules
Knowledge of Securities Legislation
Must Have confidence and experience working with large data sets, using business tools, specifically Excel's advance features:
Formulas and calculations;
Macros; and
Linking sheets and merging data
Ability to develop a thorough understanding of CIRO 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 CIRO to be able to efficiently source information and advice
Ability to work independently and in a team environment
Detail oriented

Nice-to-Haves

French (bilingual) would be an asset
Familiarity with market structure issues would be an asset
Completion of the Derivatives Fundamentals course would be an asset
Familiarity with various asset classes (derivatives, fixed income, repos and FX) would be an asset

What we offer:

Competitive base salary in alignment with market
Performance based bonus
Hybrid work environment upon demonstrating ability to work independently
Employer paid Health Benefits and Spending Account that offer flexibility to meet your individual or family needs as of day one.
Defined Contribution Pension Plan with company matching that starts on your first day of employment.
Paid flex days and sick days
MLOA/PLOA top up Paid continuous learning and continuing development as well as designation.

Why the Canadian Investment Regulatory Organization (CIRO):

Our purpose and our impact:

With offices across Canada - from Vancouver to Montreal, our mission is to promote healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures. As a regulator, we understand that we are all investors. Therefore, a career with us is a career with purpose, protecting our future.

Culture and Working Environment:

Life at CIRO is purpose and performance- driven. We foster an inclusive culture where teamwork, a forward-thinking attitude, and integrity are at the core of everything we do. This creates an environment where employees thrive, grow, and are empowered to learn and contribute their best.

Joining CIRO means becoming part of a dynamic and transparent organization that values accountability and is committed to maintaining the highest standards of regulatory oversight in the financial industry.

Looking for a career where you can safeguard the integrity of Canadian markets? Join CIRO and be part of the team that secures our financial future.

Our Commitment:

CIRO is an equal opportunity employer and is committed to providing employment accommodation in accordance with the Ontario Human Rights Code and the Accessibility for Ontarians with Disabilities Act, 2005 (AODA). CIRO will provide accommodation to job applicants with disabilities throughout the recruitment process. Should you require accommodation, please contact Human Resources.

While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted.

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Read the full job description and apply online on the recuiter's web-site

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