Job Description

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 stats for periodic reporting.  Regulatory knowledge of Fixed Income, Credit, Derivatives 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 procedures

• Conduct reviews of electronic communications as it relates to e-mail, instant messaging and new communications systems through email monitoring tool

• Identify potential areas of risk (financial, reputational, and regulatory), counsel senior management of potential issues as they arise, make recommendations with regards to courses of action

• Make recommendation to current surveillance program for business lines covered to improve surveillance efficiency and effectiveness

• Develop and maintain up-to-date surveillance procedures for all business lines covered

• Compile and provide surveillance stats for periodic reporting and conduct IT testing for tool enhancements

• Special projects as assigned

What do you need to succeed?

Must-have 

• Previous trade surveillance/compliance experience is preferred

• Strong understanding and regulatory knowledge of Equities and Listed Derivatives

• Experience in Fixed Income, Credit, Derivative and Foreign Exchange markets is required.

• Strong communications (verbal and written) and interpersonal skills

• Post-secondary education or equivalent

• Ability to work in a fast paced environment with tight deadlines and organize and prioritize an unpredictable workload

What’s in it for you?

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

• Leaders who support your development through coaching and managing opportunities

• Ability to make a difference and lasting impact

• Work in an agile, collaborative, progressive, and high-performing team

• The opportunity to interface with senior level executives from many different parts of the organization