Trade Surveillance Quality Assurance Job Montréal area,Montreal Province de Québec Canada,IT/Tech

Location: Montreal

Job Title:
Trade Surveillance Quality Assurance
Job Duration:

- month
Location:
Montreal, QC (Hybrid)
Pay Range: $/hr - /hr

Job Description:
Responsibilities:

In addition, CMS Surveillance Analysts are responsible for working with Business Management, Compliance Advisory, global counterparts and IT to monitor for potential market abuse, regulatory violations and suspicious activity. CMS plays a critical role in working with the LODto perform investigations when appropriate, and to determine and coordinate corrective action. The CMS Surveillance Manager will:

Perform QA reviews of alert closures by st Line of Defense (“LOD”) team and nd Line of Defense.

Provide training and guidance to the “Level ” CMS team, which performs a first-pass review of alerts, to ensure quality and proper adherence to the Standard Operation Procedures;

Champion the development of new surveillance features and controls to address risk priorities as appropriate;

Provide support to the Quality Assurance functions as appropriate

Conduct or assist with special investigations and projects;

Assist with Internal Audit, Compliance Testing and ad hoc regulatory requests.

Minimum Required Qualifications

Review alert and case closures performed by both the First and Second Lines of Defense to ensure completeness and accuracy.

Identify and document instances where closure narratives or decisions deviate from established Standard Operating Procedures (SOPs).

Escalate any issues of concern or procedural inconsistencies to the QA Manager for further review.

Assist in the administrative functions of the QA team, including:

Generating and formatting QA reports for internal distribution.

Allocating alerts for review across the QA team.

Tracking closure trends and recurring issues for reporting purposes.

Support the development and refinement of QA metrics and dashboards.

Collaborate with surveillance analysts and compliance officers to clarify closure rationale when needed.

Maintain organized records of reviewed cases and QA findings for audit readiness.

Contribute to continuous improvement efforts by suggesting enhancements to SOPs and QA workflows.

Preferred Qualifications:

Exposure to trading desks, exchanges, electronic trading market or securities industry;

Technical understanding of capital markets with experience as a trader, surveillance analyst or regulator

Experience with trade and e-comm surveillance and case management systems, such as NICE Actimize, SMARTS, Client, Digital Reasoning

Proficiency with market data solutions and due diligence vendors, such as Bloomberg, Reuters, Worldcheck, Lexis, Edgar, OTCMarkets,etc.;

Expert-level skill set with MS Office Suite;


Increase/decrease your Search Radius (miles)



Job Posting Language