Senior Investigative Trading Analyst

Core Responsibilities

• Conduct preliminary assessments and investigations, identifying or confirming UMIR or Canadian securities law violations.
• Write clear and concise preliminary investigation reports and develop conclusions based on analysis.
• Review complaints and determine whether further review is warranted.
• Coaching and overseeing work of assigned Investigative Trading Analysts.
• Support the development of new monitoring tools and systems.
• Participate in special projects, such as regulatory reviews and initiative committees.
• Assist the Manager in the assessment of new cases and provide coverage in their absence.

Key Skills and Competencies

Must-haves

• Completion of the Canadian Securities Course, Trader Training Course, and Conduct and Practices Handbook examination.
• Professional developmen...