Job Specifications
Associate – Front Office Conduct & Surveillance (Bilingual)
Location: Montreal, Canada (Hyrbid) and onsite presence in Quebec is required for this role.
Duration: 12 Months
Role Overview
We are seeking a Communications Surveillance Analyst to support monitoring activities across electronic and voice communications within a capital markets environment. This role is focused on identifying potential market abuse, conduct risks, and breaches of regulatory and internal policies across trading activities.
The position works closely with Compliance, Surveillance, and Front Office teams, with a strong emphasis on reviewing trader communications and escalating potential misconduct.
Key Responsibilities
Perform surveillance of electronic communications (email, chat platforms such as Bloomberg, Symphony) and voice recordings related to trading activities
Identify and investigate potential market abuse, including insider trading, front running, information leakage, and market manipulation
Review alerts generated through surveillance systems and conduct detailed investigations, including context analysis of trading behavior
Document findings, prepare case summaries, and escalate suspicious activity in line with regulatory and internal requirements
Partner with Front Office Conduct and Surveillance (FOCS), Compliance, and business stakeholders to assess and resolve potential breaches
Conduct thematic reviews and ad-hoc investigations based on emerging risks or regulatory requirements
Contribute to the development and refinement of surveillance scenarios, lexicons, and detection methodologies
Support reporting and management information (MI) related to surveillance activities
Ensure all investigations and processes align with applicable market conduct regulations and internal policies
Required Experience
Experience in Communications Surveillance, Trade Surveillance, or Market Abuse Monitoring within an investment bank, broker-dealer, or capital markets environment
Hands-on experience reviewing trader communications (emails, chat, and/or recorded voice lines)
Strong understanding of market abuse risks, including insider trading, front running, spoofing, and information leakage
Exposure to capital markets products such as equities, fixed income, FX, or derivatives
Experience investigating alerts, performing case analysis, and escalating findings
Required Skills
Strong analytical skills with the ability to assess complex scenarios involving trading and communications
Ability to interpret trading activity in conjunction with communication patterns
Clear and concise written communication for case documentation and reporting
Strong organizational skills and ability to manage multiple investigations simultaneously
Ability to work independently and make sound judgment calls in a risk-focused environment
Preferred Qualifications
Experience with surveillance tools such as NICE Actimize, Nasdaq SMARTS, Bloomberg Vault, or similar platforms
Prior interaction with Front Office trading desks or Conduct Surveillance teams
Understanding of global market conduct regulations and surveillance frameworks
Language Requirements
Fluency in English and French (mandatory)
Additional languages such as Spanish or Portuguese are a plus
Important Note
This role is specifically focused on capital markets surveillance and market conduct.
Profiles with only KYC onboarding, customer due diligence, or retail banking AML experience (without exposure to trading or communications surveillance) will not be considered.
Conduct Expectations
Demonstrate integrity, accountability, and sound judgment in all investigations
Proactively identify and escalate potential risks or breaches
Collaborate effectively with Compliance, Surveillance, and Front Office stakeholders
Support a strong culture of conduct and regulatory adherence
About the Company
HireTalent is a certified Minority Business Enterprise (MBE) workforce solutions firm, specializing in securing the best talent fits in Executive/Retained Search, Direct Hire Placements, MSP, SOW, and nationwide hiring program management and support.
We are building the next generation workforce while influencing the evolution of the talent and staffing industry as a collaborative and supportive thought leader. We have built a non profit called Consciously Unbiased focused on expanding the diversity movement. https://w...
Know more