Senior Investigator

Position Title: Senior Investigator (Market Investigations)

Department: Enforcement

Location: Toronto

Status: Permanent Full-time (Hybrid)

Responsible for performing investigations into allegations of violations of the Universal Market Integrity Rules (UMIR) by dealer members, their registered personnel and/or market participants. Preparing reports recommending outcomes, including disciplinary action, where appropriate, based on the results of the investigations. A large component of this role will have an emphasis on data handling and analysis. This will include the collection of all relevant evidence through interviewing witnesses and/or analyzing documentary evidence. The position also involves handling complex investigations into a wide range of market related matters, including but not limited to:

• Manipulative, deceptive, or other trading activity impactful to market integrity
• Corporate finance and investment banking activity
• Financial, operational management and internal controls
• Gatekeeping of non-registrants 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 and Experience:

• University degree, preferably in data analytics, finance, business administration, or accounting
• CSI designation or other regulatory licensing courses are an asset
• Minimum of seven years' Compliance/Surveillance experience with a focus on trading/market issues and/or other related securities industry experience combined with investigation experience
• Experience understanding and working with large data sets

Key Skills and Competencies:

• Ability with analytical tools such as Excel and Power BI
• Experience with advanced analytic tools such as VBA, SQL and Python is an asset
• Knowledge of the securities industry and operations of the capital markets
• Knowledge of investigation procedures and rules of evidence
• Exposure to CIRO rules (focus on UMIR), trading systems and marketplace processes
• Exposure to provincial securities legislation
• Exposure to business practices, products and services, as well as organizational structures of investment firms, dealer members and marketplaces
• Exposure to analysis of business records, interviewing techniques, and giving evidence in court or in administrative proceedings
• Strong conceptual, as well as quantitative and qualitative analytical skills
• Effective communication of ideas and information orally and in writing
• Demonstrated ability to remain objective, tactful, and diplomatic

While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted.

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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