Investigative Trading Analyst (12 months contract)
Job Description
Description
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Position Title: Investigative Trading Analyst
Department: Trading Review & Analysis
Location: Toronto, Vancouver, Montreal, Calgary
Status: Contract (Hybrid)
Day in the life of:
Working in our Trading Review & Analysis (TR&A) department, Market Regulation division, the Investigative Trading Analyst is responsible for assessing and conducting preliminary investigations of possible violations of the Universal Market Integrity Rules (UMIR), Investment Dealer and Partially Consolidated (IDPC) Rules and Securities Act referred to TR&A from our Equity Market Surveillance department, Dealer Members, public investors and other regulatory bodies.
Core Responsibilities:
- Conduct Preliminary Investigations
- Prepare reports recommending courses of action based on the evidence gathered
- Support the development and adoption of new monitoring tools and systems
- Participate in special projects, such as regulatory reviews and initiative committees
- Contribute to the Department’s operations and initiatives
Key Skills and Competencies:
- Undergraduate degree or post-secondary degree/diploma
- Completion of the Canadian Securities Course, Trader Training Course and Conduct and Practices Handbook examination
- Completion of (or enrolment in) the Chartered Financial Analyst (“CFA”) designation an asset
- Minimum 2 years securities industry experience
- Knowledge of Canadian securities regulation and regulatory framework
- Understanding of UMIR
- Understanding of CIRO’s main objectives and priorities in regulation issues
- Excellent writing and verbal skills
- Well-developed research, analytical, problem-solving, and data mining skills
- Ability to analyse complex fact sets relative to initial allegation(s), and articulate findings in a comprehensive and concise manner
- Attention-to-detail and ability to exercise sound judgement
- Ability to manage multiple case files concurrently and to complete each within ascribed timelines
- Strong aptitude for new technology
- Exposure to programming (such as Python, Jupyter notebooks, SQL, PowerBI or others) would be an asset
- Knowledge of trading systems and trading practices
- Interest in ongoing learning and professional development in a compliance capacity
What we offer:
- Competitive base salary in alignment with market
- Performance based bonus
- Hybrid work environment
- Employer paid Health Benefits and Spending
Company
CIRO / OCRI
Location
Toronto
Country
Canada
Salary
150.000
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