Job Title: Auditor II/ Associate – Front Office Conduct & Surveillance
Location: Montreal, Canada (Hyrbid)
Duration: Months
We are seeking an Associate to join the Front Office Conduct & Surveillance (FOCS) team within Global Markets. This role sits within the First Line of Defense and focuses on monitoring front-office activities to identify, prevent, and escalate potential conduct and market abuse risks.
The successful candidate will work closely with trading and sales teams while remaining independent from the business, supporting a strong culture of conduct, compliance, and regulatory adherence.
Key ResponsibilitiesReview electronic and voice communications to ensure adherence to internal policies and regulatory requirements
Identify, analyze, and report potentially suspicious or inappropriate activities
Conduct routine and ad-hoc surveillance reviews and investigations
Escalate potential issues promptly and support resolution with management
Provide ongoing support to regional surveillance teams
Maintain and enhance surveillance procedures, systems, and controls
Assist in preparing management information, metrics, and reporting
Contribute to the development and improvement of automated monitoring tools and workflows
Support the implementation of conduct risk prevention and regulatory control frameworks
Ensure compliance with applicable legal, regulatory, and internal requirements
Strong interpersonal and communication skills
High level of integrity, accountability, and professionalism
Proactive approach to identifying and managing conduct risk
Ability to work independently and exercise sound judgment
Adaptable and able to manage competing priorities
Understanding of capital markets and financial products
Familiarity with trading and sales terminology is a strong advantage
Strong analytical and organizational skills
Ability to synthesize findings and communicate clearly
Advanced proficiency in Microsoft Excel
Strong data organization and analysis capabilities
Comfortable learning and using surveillance and workflow tools
Solid PowerPoint and presentation skills
Fluency in English and French (mandatory)
Additional languages such as Spanish or Portuguese are a plus
Experience in Capital Markets, Compliance, Risk Management, or Surveillance
– years of experience in a financial services or securities environment
Exposure to conduct risk, market abuse, or regulatory monitoring
Project management experience is an asset
To Search, View & Apply for jobs on this site that accept applications from your location or country, tap here to make a Search: