Investigator

1 week ago

Toronto, Canada CIRO OCRI Full time

**Position Title: Investigator**

**Department: Investigations**

**Location: Toronto**

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

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.

CIRO is carrying on the regulatory functions of the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada, and is committed to the protection of investors, providing efficient and consistent regulation, and building Canadians’ trust in financial regulation and the people managing their investments.

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

**Key Responsibilities**:

- Conducting extensive interviews of Member firm personnel, complainants and other persons having relevant knowledge of the matters under investigation
- Reviewing, analysing and evaluating oral and documentary evidence obtained in the course of the investigatio
- Interpreting provincial legislation, By-laws, rules, regulations and policies and determining which, if any, have been violated, with the assistance of Enforcement Counsel where required
- Preparing reports recommending courses of action based on the evidence gathered
- Assist Enforcement Counsel in matters relating to the discipline process, including:

- Aid in preparing Notices of Hearing and Settlement Agreements
- Aid in preparing for disciplinary hearings, including preparation of documentary evidence, additional data analysis, preparation of presentation materials, and assisting with witness preparation
- Giving evidence in disciplinary hearings

**Education/Experience**:

- must complete the CSI Canadian Securities Course and either of the Branch Managers Course or the Chief Compliance Officers Qualifying Exam within two years of hiring.
- A University degree in Accounting, Business or law or equivalent work experience
- The ability to travel as necessary

**Key Competencies**:

- Strong knowledge and understanding of the mutual fund industry, operations, products, provincial legislation, rules and regulations
- Highly developed investigative and interviewing skills
- Superior organizational and planning skills
- Ability to multi
- task
- Excellent interpersonal skills
- The ability to travel as necessary

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.

LI-HYBRID #hiring

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