Investigator
1 week ago
Hybrid role - based in Montreal, QC
Reporting to the Director, Core Regulatory Functions, the Investigator analyzes and documents investigation files, in particular in response to complaints received from approved participants, clients and market operations personnel, or referred by the Coordination Committee of the Regulatory Division (the “Division”). To formulate findings, the Investigator gathers evidence including conducting interviews. The investigator also uses quantitative analysis methods and statistics to interpret large amounts of data. The Investigator will need to employ analytical accuracy to sift through the data and find opportunities for improvements, in terms of developing tools, identifying trading practices and using electronic evidence.
Key Accountabilities:
- Conducts investigations of a generally sophisticated nature, including allegations of market manipulation
- Collects the required data and information through inquiries and/or interviews, and reviews and analyzes the evidence gathered to formulate conclusions.
- Safeguards evidence collected in the course of an investigation.
- Involved in the reviews of files and reports prepared by other investigators in the Division.
- Acts as a resource person to other investigators in any investigation.
- Collaborates on any project related to investigations.
- Develops investigation plans and prepares complete investigation reports, including findings based on the facts and the evidence collected.
- Testifies, if necessary, before the Montreal Exchange’s Disciplinary Committee or any other authority.
- Keeps the updated record of all investigation files, taking into account priority levels and applicable performance benchmarks.
- Follows the procedures and processes applicable to investigations and takes part in their potential improvement.
- As required, participates in regulatory amendment proposals initiated by the Division, mainly by carrying out analyses.
- Carries out all other related duties assigned by the immediate supervisor.
Skills and Experience:
- Experience in investigations in the securities industry and, more specifically, in the field of derivatives compliance and/or trading, or with a member of a regulatory or self-regulatory organization (SRO) as investigator or inspector of this organization, and/or
- Experience in derivatives trading and back-office operations
- University degree in law, finance, business administration, economics, mathematics, computer science or any other field related to experimental quantitative analysis
- Knowledge of the applicable legal framework and rules of evidence
- Excellent communication and interpersonal skills in both English and French
- Skills in formulating findings and recommending follow-up actions
- Good judgment and discretion
- Organizational skills and priority management
- Attention to detail
- Ability to write documents that are simple, clear, concise and logical
- Tact and diplomacy
- Autonomy
- Team spirit
Nice to have:
- CFA or other professional designation
- Canadian Securities Course (CSC) or equivalent
- Derivatives course(s) or training
- Experience analyzing statistical data
- Knowledge of and experience with market oversight systems
- Experience in machine learning using large data sets
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