Case Assessment Officer

1 week ago

Toronto, Canada Investment Industry Regulatory Organization of Canada (IIROC) Full time

**Position Title: Case Assessment Officer (MFDA Division)**

**Department: Case Assessment**

**Region: Toronto**

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

New SRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces.

New SRO 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.

**Key Responsibilities**:

- Review, analyze, and assess case assessment files.
- Prepare and send correspondence and documentary requests.
- Prepare comprehensive written reports outlining the facts and provide recommendations.
- Conduct telephone calls with complainants and others where appropriate.
- Communicate with securities commission staff and other administrative and law enforcement agencies where appropriate.
- Obtain input from Management, Compliance staff, Enforcement counsel or others on issues arising in cases where appropriate.
- Draft administrative resolutions, where appropriate, and participate in related discussions and telephone calls.
- Communicate with Enforcement Department Staff on escalated cases when required.

**Education/Experience**:

- Minimum 3 years securities industry.
- Previous experience with a mutual fund dealer or a mutual fund company
- Previous legal or accounting experience
- Strong written and verbal skills.
- Strong knowledge of Microsoft Office
- Self-motivated
- Well-developed research, analytical, problem-solving, and organizational skills
- University degree or equivalent
- Canadian Securities Course
- Branch Manager’s Course and/or the Chief Compliance Officer’s Course

**Key Skills and Competencies**:

- Broad knowledge and understanding of the Canadian securities industry, specifically the mutual fund industry
- Functions of other regulatory bodies.

New SRO 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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