Investigator

**Position Title: Investigator (Member and Market Investigations)**

**Department: Enforcement**

**Location: Montreal**

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

**Day in the life of**:

- Conduct issues within the advisor/firm management of client relationships and activity
- Corporate finance and investment banking activity
- Financial, operational management and internal controls
- Manipulative, deceptive, or other trading activity impactful to market integrity
- Gatekeeping of non-registrants and other related industry activity
- Supervision and compliance structures

**Core Responsibilities**:

- Effectively and efficiently planning and executing investigations for targeted completion within desired timeframes.
- Collecting relevant evidence from a variety of sources, including internal departments, Member firms, and third parties.
- Providing accurate, comprehensive updates to case management systems.
- Critical thinking, comparing alleged misconduct against regulatory and evidentiary standards.
- Presenting investigative findings (orally and in writing) to management and other constituents in an organized, concise, and timely fashion.
- Contributing throughout the litigation process, including testifying at regulatory hearings, both in chief and cross examination.

**Key Skills and Competencies**:

- Thorough knowledge of investigation techniques and procedures, interviewing and rules of evidence.
- Thorough knowledge of the securities industry and operations of the capital markets.
- Knowledge of the organizational and supervision structures of investment dealers.
- Exposure to CIRO rules (UMIR & Dealer Member).
- Knowledge of provincial securities legislation.
- Effective communication skills, both verbally and in writing.
- Demonstrated ability to remain objective, tactful, disciplined and diplomatic, and dealing with adversarial situations.
- High degree of judgment and professionalism.
- Intellectual curiosity.
- Ability to synthetize complex matters.
- Engaged, proactive and organized.
- Proficiency with MSOffice and strong ability with Excel.
- An asset in having experience with analytic tools and programming experience such as SMARTS, Bloomberg, Power BI, VBA or other.

**Education/Experience**:

- University degree, preferably in finance, business administration, accounting or other relevant sectors.
- Successful completion of Canadian Securities Course and Conduct and Practices Handbook Course
- Additional CSI courses, or professional designations/qualifications are an asset.
- At least five years’ experience with a focus on compliance/surveillance operational or other related securities industry experience and/or strong investigation experience.

**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 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 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 (AODA). CIRO will provide accommodation to job applicants with disabilities throughout the recruitment process. Should you require accommodation, please contact Human Resources.

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