- Review 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
- 3–7 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
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**Job - Auditor II · Location - Montreal, QC · Duration:12+ month(s) · Responsibilities:** · Review Voice and E-communications of bank employees for adherence to firm and regulatory rules and requirements. · Detect, review and report potentially suspicious activities. · Conductin ...
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Auditor II - Montreal - HireTalent

2 days ago
Description
Job Title: Auditor II/ Associate – Front Office Conduct & Surveillance
Location: Montreal, Canada (Hyrbid) Duration: 12 Months
Job Overview
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 elevate 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 Responsibilities
Required Qualifications Conduct & Professional Skills
Market & Business Knowledge
Technical Skills
Language Requirements
Preferred Qualifications
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Auditor
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Auditor Senior
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Auditor
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Auditor
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Internal Auditor
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Auditor
Only for registered members Montreal
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Auditor
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IT Lead Auditor
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IT Internal Auditor
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Lead Auditor
National Bank- Montreal
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Data Auditor
Only for registered members Greater Montreal Metropolitan Area
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IT Lead Auditor
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Night Auditor
Only for registered members Montreal, Quebec
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Data Auditor
Only for registered members Montreal, Quebec
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Lead Auditor
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Senior Auditor
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Lead Auditor
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Data Auditor
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Data Auditor
Only for registered members Montreal
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Internal Auditor
Only for registered members Montreal, Quebec
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Auditor II
Only for registered members Montreal, Quebec