Investigator - Toronto, Canada - CIRO / OCRI

CIRO / OCRI

Verified Company

Toronto, Canada

3 weeks ago

Posted by:

Sophia Lee

beBee Recruiter

Description

Position Title:
Investigator (ID)

Department:
Enforcement

Location:
Toronto

Status:
Permanent Full-time (Hybrid)

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

Key Responsibilities:

Plan and conduct investigations into alleged violations of CIRO rules
Contributing throughout the litigation process, including testifying at regulatory hearings, both in chief and cross examination
Develop and maintain information resources to assist in the overall regulation of capital markets
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
Interacting with peers, management and external parties, providing excellent representation of a specialized area of regulatory responsibility

Education/Experience:

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

Key Skills and Competencies:

Thorough knowledge of the securities industry and operations of the capital markets
Thorough knowledge of investigation procedures and rules of evidence
Thorough knowledge of trading systems and marketplace processes
Thorough knowledge of the CIRO rules (UMIR & Dealer Member)
Knowledge of provincial securities legislation
Knowledge of the business practices and organizational structures of investment firms and marketplaces
Thorough knowledge of the products and services of dealer members, participants and marketplaces
Experience in the analysis of business records, interviewing techniques, and giving evidence in court or in administrative proceedings
Proficiency at advanced level with MS Office (Excel, Access, Outlook, CRM etc.) an asset
Effective communication of ideas and information both verbally and in writing
Demonstrated ability to remain objective, tactful, disciplined and diplomatic

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.

hiring #LI-HYBRID