Trading Surveillance Associate

Compliance Associate We are seeking a compliance associate to join our Surveillance team within the Compliance Department. The successful candidate will be an integral member of the surveillance team, reviewing surveillance reports and investigating possible instances of rule or law violations. This position requires strong analytical and communication skills and the desire to take initiative and assume responsibility. This position reports to the Head of Surveillance and Trading Compliance, based in Manhattan, and works on a hybrid schedule (WFH Mondays & Fridays). Essential Job Functions Perform reviews of trading reports to ensure compliance with all relevant laws, rules and regulations associated with equities markets. Work independently to monitor trading behavior to identify potentially inappropriate or fraudulent activity. Conduct in-depth analysis and research of potential issues to determine whether trading activities were conducted appropriately. Appropriately document and record monitoring activities and investigative steps to resolve issues. Refer findings to senior management or colleagues for potential regulatory filings. Clearly and concisely communicate with staff at all levels of the organization to evaluate potential issues. Partner with IT and other business units to identify opportunities to enhance surveillance reports. Support management in addressing action plans which enhance regulatory controls. Present Compliance topics at regular meetings with Trading Staff. Required Qualifications Two years of experience in a regulatory or compliance setting Knowledge of equities trading, surveillance procedures and associated rules and regulations Preferred Qualifications (Not required) Legal training and/or direct regulatory experience Experience with options trading Knowledge, Skills and Abilities Superior oral and written communication skills Presentation skills Excellent attention to detail, time management and analytical skills Curiosity A desire to excel Compensation: $100,000 - 120,000 This role is eligible for an annual discretionary bonus and a generous benefits package in addition to the base salary. The success of the firm, your team, and your individual performance will determine the trajectory of your career and total compensation. Benefits Overview: At Canaccord Genuity, your wellbeing matters. Joining our firm means being part of a workplace that not only values your contributions, but also invests in your overall health and wellbeing. We are glad to discuss our benefits with you in detail, and are pleased to share this overview: Paid Time Off 15 days of paid vacation accrual per year 20 days of vacation accrual after 3 years with the firm Unlimited sick days Health & Wellness Medical and dental insurance Vision insurance - 100% company-paid benefit Employee Wellness Program - 100% company-paid benefit Available to all employees and members of their household 24/7/365 Mental health benefits: 3 free therapy sessions per occurrence per year Support and guidance for everyday issues including, but not limited to, legal consultation, financial expertise, child or elder care, home repair, housing needs, adoption, etc. Access care on-demand via phone, over live chat, email, or in-person Life insurance - 100% company-paid benefit Short-term disability insurance - 100% company-paid benefit Long-term disability benefits Pet insurance Equinox preferred rates Financial Benefits 401(k) with employer match Employee Stock Purchase plan with employer match Commuter pre-tax benefits Tuition reimbursement Driven by your success A career at Canaccord Genuity means working for a client-centric organization with a global reach across 10 countries. We are driven to achieve for our clients, our shareholders and each other in a highly ethical manner our people and culture are at the heart of our success. No matter what your role, you have the opportunity to make a positive difference through your ideas and hard-work and be rewarded for your performance. Driven by diversity and inclusivity Canaccord Genuity is committed to encouraging a diverse workforce and to promoting a respectful and inclusive culture in which everyone has the opportunity to thrive and realize their potential. We recognize that diversity across our business strengthens relationships, enables more innovative solutions for our clients, as well as creating a more stimulating place to work. Building and developing a truly varied team of talented people from all walks of life is essential for tackling new global challenges, adapting to changing markets and appealing to an increasingly diverse client base.

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