Assistant Investigator

3 months ago

Toronto, Canada Ontario Securities Commission Full time

**Assistant Investigator***
**Enforcement Branch***
**Permanent, Full-time**
**File# 23-**24**

The **Ontario Securities Commission (OSC) **is the statutory body responsible for regulating Ontario’s capital markets in accordance with the mandate established in the provincial Securities Act and the Commodity Futures Act. The mandate of the OSC is to provide protection to investors from unfair, improper or fraudulent practices, to foster fair, efficient and competitive capital markets and confidence in the capital markets, to foster capital formation, and to contribute to the stability of the financial system and the reduction of systemic risk. This mandate is performed through policy, operational, adjudication and enforcement work. The OSC also contributes to national and global securities regulation development.

**We offer an inclusive, diverse, fair, and flexible work environment and take pride in our challenging and rewarding work.**

***

The **Enforcement Branch** supports the OSC in delivering fair, vigorous and timely enforcement. The Enforcement Branch investigates and litigates breaches of capital-markets laws in Ontario.

The **Regulatory Enforcement Action Team **within the Enforcement Branch is hiring an **Assistant Investigator** to assist our team of investigators, lawyers and other professionals who identify and investigate potential misconduct in Ontario’s capital markets and make recommendations for appropriate regulatory action

In pursuing the Commission’s mandate to protect investors and ensure the integrity of our capital markets, the Assistant Investigator is responsible for providing administrative and investigatory support to the team.

**Key Duties and Responsibilities**:

- Provide investigatory support, including:

- Assisting in the preparing and/or serving of s. 19(3) directions and s. 13 summonses for documents and reviewing responses for completeness.
- Assisting with inquiries and gathering information and documentary evidence from a wide range of sources including internal and/or external databases, commission records, social media, third parties including self-regulatory organizations, other provincial and international regulators, and government agencies.
- Reviewing and organizing information received, including forwarding information for processing to our e-discovery team.
- Helping to organize and analyze information obtained which may require the use of analytical tools such as flowcharts, and creating timelines and chronologies, etc.
- Assisting with interviews of potential respondents and witnesses including managing exhibits.
- Helping to prepare investigation plans, investigation progress reports and recommendation reports.
- Provide document management and administrative, including:

- Saving legal documents to the various enforcement systems.
- Organizing all documents and completing evidence control reports on a variety of files within the team in compliance with applicable practices.
- Ensuring all evidence is included in our e-discovery databases, assisting with coding and searching in these databases.
- Taking notes of contacts with third parties and maintaining required records.
- Other administrative tasks as may be assigned.
- Manage workload efficiently, prioritising tasks as necessary to complete assignments within required timelines.
- Keep senior staff and management informed about key developments.
- Work collaboratively with team members and stakeholders.
- Participate in special Enforcement projects as needed and perform other duties/tasks as assigned.

**To be successful in this role, you have the following**:

- Undergraduate degree or Community College diploma or certificate in related area of study.
- Minimum 3 Years of related regulatory experience.
- Understanding and knowledge of securities legislation, regulators, the capital markets industry, investment products, and role of participants, as well as administrative and criminal justice systems.
- Completion of the Canadian Securities Course and/or other related industry courses is an asset and willingness and ability to update and further develop securities law knowledge.
- Excellent organizational skills and attention to accuracy and detail is critical.
- Established experience in investigative techniques and procedures.
- Strong analytical, research, and investigative skills.
- Demonstrated ability to take initiative, strong decision-making and problem-solving skills exercising good business judgment.
- Excellent verbal and written communication skills.
- A collaborative, team player adept at working effectively in a dynamic group.

**Grow your career and make a difference working at the OSC.**

**We thank all applicants for their interest in the Ontario Securities Commission. We will contact those selected for an interview.**
- The OSC is committed to diversity and providing an inclusive workplace and providing accommodation in accordance with the Accessibility for Ontarians with Di

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