Associate,TradeSurveillance

## Accountabilities Conduct daily Tier 1 trade surveillance reviews across multiple asset classes including equities, options, crypto, futures, and other instruments. Review and action automated surveillance alerts, as well as perform manual monitoring of trading activity. Analyze client trading behaviour to identify potential market abuse, policy breaches, or regulatory concerns. Investigate suspicious activity and prepare clear escalation reports for further review or action. Support regulatory submissions, audits, and external examinations related to trade surveillance. Assist in maintaining and improving surveillance policies, procedures, and alert tuning processes. Contribute to effectiveness testing of surveillance controls and risk monitoring frameworks. Collaborate with internal teams to promote compliance awareness and ensure alignment with regulatory requirements. Document findings accurately and participate in knowledge sharing and team discussions. Ensure daily activities align with the firm’s risk appetite, compliance standards, and regulatory obligations. Requirements: 3+ years of experience in investment industry compliance, preferably within trade surveillance or market surveillance functions. Strong knowledge of Canadian securities regulations, including UMIR and CIRO Dealer Member rules. Excellent analytical skills with strong attention to detail and sound judgment in ambiguous situations. Experience working with data tools such as SQL or Python; familiarity with analytics platforms is an asset. Strong communication and interpersonal skills with the ability to collaborate across technical and non-technical teams. Ability to connect regulatory requirements with real-world trading and business scenarios. Strong problem-solving mindset with a proactive and investigative approach. Nice to have: CIRO supervisory registration eligibility or completion of relevant securities and derivatives licensing. Nice to have: exposure to cryptocurrency or blockchain