Manager, Capital Market Surveillance
What is the opportunity?
As Manager, Capital Market Surveillance, you will primarily conduct daily and periodic reviews of sales and trading activities for Capital Markets in Canada and be the overall subject matter expert in both equities and listed derivatives. You will participate and contribute to team projects (alert parameter changes, working with Compliance IT), keep detailed record keeping and compile surveillance states for periodic reporting. Regulatory knowledge of Fixed Income, Credit, Derivative and Foreign Exchange markets is also required.
What will you do?
Conduct daily, weekly, monthly and quarterly trading reviews to ensure compliance with applicable laws and regulations, as well as internal policies and proceduresConduct reviews of electronic communications as it relates to e-mail, instant messaging and new communications systems through email monitoring toolIdentify potential areas of risk (financial, reputational, and regulatory), counsel senior management of potential issues as they arise, make recommendations with regards to courses of actionMake recommendation to current surveillance program for business lines covered to improve surveillance efficiency and effectivenessDevelop and maintain up-to-date surveillance procedures for all business lines coveredCompile and provide surveillance stats for periodic reporting and conduct IT testing for tool enhancementsSpecial projects as assigned
What do you need to succeed?
Previous trade surveillance/compliance experience is preferredStrong understanding and regulatory knowledge of equities and listed derivativesExperience in Fixed Income, Credit, Derivative and Foreign Exchange markets is required.Strong communications (verbal and written) and interpersonal skills Post-secondary education or equivalentAbility to work in a fast paced environment with tight deadlines and organize and prioritize an unpredictable workload
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Address: 180 Wellington St W
Work Hours/Week: 37.5
Work Environment: Office
Employment Type: Permanent
Career Level: Experienced Hire/Professional
Pay Type: Salary + Variable Bonus
Required Travel (%): 0
People Manager: No
Application Deadline: 04/08/2021
Platform: Group Risk Management
Req ID: 338497