Investigator

7 days ago

Vancouver, Canada CIRO OCRI Full time

**Position Title: Investigator**

**Department: Investigations**

**Location: Vancouver**

**Status: Permanent Full-time (Hybrid)**

**Target Hiring Range: $70,000 - $85,000**

**Day in the life of**:
CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces.

As an Investigator, you will be responsible for conducting investigations of alleged misconduct and other enforcement matters against member firms and their approved persons. You will also be responsible for collecting evidence, including conducting interviews, and interpreting the evidence collected to make recommendations for action and/or resolution. The Investigator reports to a Manager of Investigations.

**Core Responsibilities**:

- Plan and conduct investigations into alleged violations of the CIRO rules
- Conduct extensive interviews of member firm personnel, complainants and other persons having relevant knowledge of the matters under investigation
- Review, analyze and evaluate oral and documentary evidence obtained in the course of the investigation
- Interpret provincial legislation, by-laws, rules, regulations and policies and determining which, if any, have been violated, with the assistance of Enforcement Counsel where required
- Prepare reports recommending courses of action based on the evidence gathered
- Assist Enforcement Counsel in matters relating to the discipline process, including:
- preparing Notices of Hearing and Settlement Agreements
- preparing for disciplinary hearings, including preparation of documentary evidence, additional data analysis, preparation of presentation materials, and assisting with witness preparation
- Testifying at regulatory hearings, both in chief and cross examinations

**Skills and Competencies**:

- University degree, preferably in finance, business administration
- Successful completion of the CSI’s Canadian Securities Course and Conduct and Practices Handbook
- Additional CSI courses or other regulatory licensing courses are an asset
- At least five years’ experience with a focus on compliance, operational or other related securities industry experience and/or strong investigation experience
- Strong knowledge and understanding of the securities industry and operations of the capital markets
- Thorough knowledge of investigation procedures and rules of evidence
- Thorough knowledge of trading systems and marketplaces processes
- Thorough knowledge of the CIRO rules, including UMIR, provincial securities legislation, rules and regulations
- Knowledge of the business practices and organizational structures of firms and marketplaces
- Experience in the analysis of business records, interviewing techniques, and giving evidence in court or in administrative proceedings
- Proficiency at an advanced level with MS Office products, such as Word and Excel
- Effective communication of ideas and information, both verbally and in writing
- Strong critical thinking skills and ability to remain objective, tactful, and diplomatic

**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
- Vacation days
- Maternity Leave Of Absence /Paternity Leave Of Absence top up
- Paid continuous learning and continuing development including designations.

**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 a regulator, we understand that we are all investors. Therefore, a career with us is a career with purpose, 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 core of everything we do. This creates an environment where employees thrive, grow, and are empowered to learn and contribute their best.

Joining CIRO means becoming part of a dynamic and transparent organization that values accountability and is committed to maintaining the highest standards of regulatory oversight in the financial industry.

Looking for a career where you can safeguard the integrity of Canadian markets? Join CIRO and be part of the team that secures our financial future.

**Our Commitment**:
CIRO is an equal opportunity employer and is committed to providing employment accommodation in accordance with the Ontario Human Rights Code and the Accessibility for Ontarians with Disabilities Act, 2005

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