CIRO / OCRI
Surveillance Officer - 12 Months Contract
Job Description
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 breaches of the trading rules, including illegal insi...
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 breaches of the trading rules, including illegal insi...