Case Assessment Officer

Description

As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) is committed to setting high regulatory standards for the investment industry, safeguarding investors, and supporting the integrity of Canada’s capital markets. Join a growing team and contribute to the dynamic and complex world of Canadian capital markets.

The Case Assessment Officer (CAO) has an important role in fulfilling CIRO’s investor protection mandate. Working in our Enforcement Department, the CAO is responsible for conducting preliminary investigations of regulatory complaints received from public investors and other regulatory bodies, as well as other matters reported through CIRO’s Complaints and Settlements (ComSet) database. The CAO collects information and documents from complainants, CIRO-regulated firms and other information sources in order to assess and identify possible regulatory misconduct. The CAO conducts a comprehensive analysis of regulatory complaints and prepares detailed reports on the findings and recommendations for appropriate action including referring matters to other CIRO departments and regulatory organizations. The CAO will also liaise with other Enforcement staff, CIRO departments and other regulatory bodies to exchange information and coordinate referrals where appropriate.

Core Responsibilities:

• Collect and analyze financial documents and prepare comprehensive reports and written responses that are timely, accurate and conveyed in plain language.
• Accurately assess and recommend the appropriate course of action for regulatory complaints related to dealer conduct.
• Maintain detailed records of regulatory complaints and adhere to CIRO’s policies and procedures for reviewing, analysing, tracking and recording all Case Assessment matters.
• Prepare and issue detailed, concise letters relaying the outcome of the assessment to various stakeholders.
• Complete daily reviews of the submissions made in the ComSet database. Preparing summaries, analysis, and recommended course of action for each submission.
• Identify and elevate sensitive, urgent or unusual regulatory issues, evolving trends, policy issues or concerns.
• Assist with reporting and other departmental initiatives.

Key Skills and Competencies:

Must-haves

• University degree, preferably in finance or economics
• Canadian Securities Course
• Conduct and Practices Handbook Course
• Minimum 2 to 3 years of financial industry experience

Nice to Haves

• Good understanding of CIRO’s Dealer Member rules and related policies, relevant securities legislation, policies and instruments.
• Knowledge of a Dealer Member’s operations, structure, the client’s relationship with a dealer, trading, settlement and clearing, and compliance systems and standards.
• Knowledge and understanding of various securities products.
• Strong written and verbal communications skills.
• Strong research, analytical and problem solving skills.
• Good customer service, dispute-resolution and escalation skills.
• Good file management and organizational skills.
• Effective networking and relationship-building skills.
• Effective interpersonal and change-management skills.
• Demonstrated ability to work proactively and independently in order to prioritize and complete tasks within established timelines.
• Proficiency with a variety of computer software applications.

What we offer:

• Competitive base salary in alignment with market
• Performance based bonus *
• Hybrid work environment
• Employer paid Health Benefits and Spending Account that offer flexibility to meet your individual or family needs as of day one
• Defined Contribution Pension Plan with company matching that starts on your first day of employment *
• Paid flex days and sick days *
• Maternity Leave Of Absence/Paternity Leave Of Absence top up *
• Paid continuous learning and continuing development including designations

*Asterisked offerings are not applicable to contracts

Why the Canadian Investment Regulatory Organization (CIRO):

Our purpose and our impact:

With offices across Canada - from Vancouver to Montreal, our mission is to promote healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures. As regulators, we understand that we are all investors, and therefore a career with us is a purposeful career: protecting our future.

Culture and Working Environment:

Life at CIRO is purpose and performance- driven. We foster an inclusive culture where teamwork, a forward-thinking attitude, and integrity are at the cor