Surveillance Officer - 12 Months Contract

Core Responsibilities

• Communicate daily with dealers, issuers and marketplaces on a variety of topics that include market manipulation reviews, issuer timely disclosure, marketplace disruption,
• Serve as a backup for conducting cross-assets (Equities, Derivatives, Bonds) to identify potential violations of UMIR or Canadian securities laws. This includes compiling relevant evidence and performing detailed trading analysis.
• 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 breache...