Associate, Trade Surveillance
New
W
Wealthsimple TechnologiesFinancial Services
Remote (Canada)Full-TimeMiddle
Salary69,600 - 87,000 CAD per year
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Job Details
- Experience
- 3+ years
- Required Skills
- PythonSQLData AnalysisCompliance
Requirements
- 3+ years of investment industry compliance experience, preferably in trade surveillance
- Knowledge of Canadian securities regulations including UMIR and CIRO Dealer Member rules
- Strong analytical skills with superior attention to detail and sound judgment in ambiguous situations
- Technical proficiency with SQL or Python
- Experience with Preset or similar analytics platforms is an asset
- Excellent interpersonal and communication skills; ability to collaborate effectively across teams
- Problem-solving mindset with the ability to link regulatory requirements to business realities
Responsibilities
- Conduct daily Tier 1 trade surveillance reviews across equities, options, crypto, futures, predictions, and potentially other asset classes
- Action automated alerts from the firm's surveillance platform and conduct manual supervisory reviews as assigned
- Analyze client trading activity to identify patterns inconsistent with regulatory requirements or firm policies
- Investigate potentially suspicious activity and prepare escalation reports
- Handle regulatory submissions related to trade surveillance matters
- Support regulatory audits and examinations
- Assist in developing and maintaining surveillance policies, procedures, and alert tuning
- Educate business teams on trade surveillance requirements and promote compliance across the organization
- Participate in effectiveness testing of surveillance controls
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