Case Assessment Officer

5 months ago

Montréal, Canada CIRO OCRI Full time

**Position Title: Case Assessment Officer (ID)**

**Department: Enforcement**

**Location: Montreal**

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

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.

**Key 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 policies and procedures for reviewing, analyzing, 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 escalate sensitive, urgent or unusual regulatory issues, evolving trends, policy issues or concerns.
- Assist with reporting and other departmental initiatives.

**Education/Experience**:

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

**Key Skills and Competencies**:

- 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.

CIRO is committed to employment practices that are inclusive and accessible. Accommodations for individuals with disabilities are available. Should you require accommodation, please contact Human Resources.

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