The Investigative Trading Analyst will conduct objective, timely and effective post-trade reviews and preliminary investigations of possible violations of UMIR and Canadian Securities laws.
Core Responsibilities:- Conduct post-trade reviews and preliminary investigations into alleged UMIR or Canadian Securities law violations in a timely manner, compiling relevant evidence from various sources and conducting trading analysis.
- Prepare clearly written and concise preliminary investigation reports which incorporate all relevant information and documentation to support conclusions.
- Participate in special projects such as regulatory reviews and initiative committees. Participate in professional development in relevant areas of the securities industry.
- Develop and maintain cooperative relationships with other regulatory and investigative departments.
Key Skills and Competencies:Must-haves- Post-secondary education.
- Canadian Securities Course.
- Trader Training Course, and Conduct and Practices Handbook Course and additional Canadian Securities Institute Courses are assets.
Nice to Haves- Minimum 2-4 years' experience in the securities industry, preferably in a Compliance/Research/Analyst role.
- Knowledge of securities regulations (UMIR, provincial securities legislation), trading systems and trading practices.
- Knowledge of Canadian market structure.
- Excellent organizational and analytical skills.
- Excellent interpersonal skills.
- Strong problem-solving skills and attention to detail.
- Excellent report writing skills, ability to write clearly and effectively.
- Thorough knowledge of Microsoft Office programs.
- Advanced Excel skills.
* Investigative experience (Trade reviews, client complaints, research analysis) would be an asset.
What we offer:- Competitive base salary in alignment with market
- Performance based bonus *
- Hybrid work environment
- Employer paid Health Benefits and Spending Account that offer flexibility to meet your individual or family needs as of day one
- Defined Contribution Pension Plan with company matching that starts on your first day of employment *
- Paid flex days and sick days *
- Vacation days
- Maternity Leave Of Absence/Paternity Leave Of Absence top up *
- Paid continuous learning and continuing development including designations
*Asterisked offerings are not applicable to contracts
OurRecruitment Process:- This posting reflects an active vacancy on our team
- We use automated (AI) tools toassistwith candidate sourcing and communications. Applications are reviewed by our hiring team and hiring decisions are made by people.
- This role has a hiring range of $85,000 - $95,000 with the placement and offered salary being based on knowledge, skills, education/training and experience, as well as external market conditions and internal equity.
While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted. #LI-HYBRID#Hiring
