Senior Compliance Officer, Equity Trade Surveillance

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Mandate
 

Reporting to the Director of Trade Surveillance, the Compliance Officer supports the implementation, maintenance, and administration of the compliance and risk monitoring program for Global Markets (Canada). This role conducts risk assessment, monitoring, and surveillance activities to ensure alignment with the Enterprise‑wide Compliance Program, regulatory requirements, corporate policies, and risk appetite. The Compliance Officer partners with Capital Markets LOBs and internal stakeholders to meet regulatory, corporate, and fiduciary obligations. The role maintains current regulatory knowledge, identifies and addresses compliance gaps, advises on regulatory implications of new policies or products, and supports the development and implementation of revised controls, policies, and programs. The Officer maintains compliance information f...