Senior Investigator
Investment Industry Regulatory Organization of Canada
Toronto, ON
Position Title:
Department:
Location:
Status:
Senior Investigator

Enforcement

Toronto

Permanent Full-time

Responsible for conducting investigations into alleged misconduct by IIROC member firms and/or their registered employees. This will include planning the investigation, collecting relevant evidence, conducting interviews, document analysis, preparing reports and recommending disciplinary action, if warranted.

Also responsible for providing litigation support to Enforcement Counsel through IIROC disciplinary process including attending as a witness at IIROC disciplinary hearings.

Key Responsibilities:
Plan and conduct investigations into alleged violations of IIROC rules
Work closely with Enforcement Counsel in matters relating to the disciplinary process
Develop and maintain information resources to assist in the overall regulation of capital markets
Timely preparation of concise reports to summarize investigative findings
Involvement in extra departmental activities

Education/Experience:
University degree, preferably in finance, business administration, accounting or law
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 IIROC 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
Effective communication of ideas and information both verbally and in writing
Demonstrated ability to remain objective, tactful, disciplined and diplomatic
While we appreciate all applicants, only those who most closely match the position requirements will be contacted for interview.