Case Assessment Officer - Toronto, Canada - CIRO / OCRI

CIRO / OCRI

Verified Company

Toronto, Canada

2 weeks ago

Posted by:

Sophia Lee

beBee Recruiter

Description

Position Title:
Case Assessment Officer (MFD)

Department:
Case Assessment

Region:
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.

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.
Communicate with Enforcement Department Staff on escalated cases when required.

Education and Experience:

Minimum 3 years securities industry.
Previous experience with a mutual fund dealer or a mutual fund company
Strong written and verbal skills.
Strong knowledge of Microsoft Office
Selfmotivated
Welldeveloped research, analytical, problemsolving, 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.

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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