CI
Job Overview
The position is accountable for contributing to the market integrity through the provision of trade surveillance, detection, and referral of violations of UMIR market rules and policies. Key Responsibilities: Conduct trade surveillance of cross-assets trading activity into alleged UMIR or Canadian Securities law violations, compiling relevant evidence and conducting trading analysis Monitor trading activity to ensure compliance with Universal Market Integrity Rules (UMIR) using trade surveillan…
What you'll do
- Conduct trade surveillance of cross-assets trading activity
- Detect alleged UMIR or Canadian Securities law violations
- Compile relevant evidence for violations
- Conduct trading analysis
- Monitor trading activity for UMIR compliance
- Contribute to market integrity
- Refer violations for appropriate action
What you'll need
- Knowledge of Universal Market Integrity Rules (UMIR)
- Understanding of Canadian Securities Law
- Cross-asset trading knowledge
- Ability to conduct trading analysis
- Compliance monitoring experience
About the Company
CI
CIRO
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