The Compliance Officer (Trade Surveillance) plays a critical role in mitigating the firm's regulatory and financial risks related to retail and firm trading activities (equities and fixed income). This includes monitoring for infractions under UMIR, responding to inquiries from CIRO during audits, delivering trader training, and participating in educational online and in‑person training for branch and home office associates. The role ensures the trade surveillance program remains robust and responsive.
Key Responsibilities
Trade Surveillance and monitoring
Handling of all CIRO required trade reporting, short and wash trade reporting, and regulatory information requests
Working with the US trading desk partners to ensure trade functions, supervision, and oversight are occurring as expected, and collaborating with internal IT design teams to implement and monitor customized supervision oversight plans tailored to specific circumstances