Position Title: Case Assessment Officer
Department: Enforcement
Location: Montreal
Employment Type: Regular
Working Arrangement: Full-time, Hybrid
About Us
As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) (https://www.ciro.ca/about-ciro) is committed to setting high regulatory standards for the investment industry, safeguarding investors, and supporting the integrity of Canada’s capital markets. Join a growing team and contribute to the dynamic and complex world of Canadian capital markets.
About this Opportunity
The Case Assessment Officer (CAO) has an important role in fulfilling CIRO’s investor protection mandate. Working in our Enforcement Department, the CAO is responsible for conducting preliminary investigations of regulatory complaints received from public investors and other regulatory bodies, as well as other matters reported through CIRO’s Complaints and Settlements (ComSet) database. The CAO collects information and documents from complainants, CIRO-regulated firms and other information sources in order to assess and identify possible regulatory misconduct. The CAO conducts a comprehensive analysis of regulatory complaints and prepares detailed reports on the findings and recommendations for appropriate action including referring matters to other CIRO departments and regulatory organizations. The CAO will also liaise with other Enforcement staff, CIRO departments and other regulatory bodies to exchange information and coordinate referrals where appropriate.
Core Responsibilities:
- Collect and analyze financial documents and prepare comprehensive reports and written responses that are timely, accurate and conveyed in plain language.
- Accurately assess and recommend the appropriate course of action for regulatory
- complaints related to dealer conduct.
- Maintain detailed records of regulatory complaints and adhere to CIRO’s policies and procedures for reviewing, analysing, tracking and recording all Case Assessment matters.
- Prepare and issue detailed, concise letters relaying the outcome of the assessment to various stakeholders.
- Complete daily reviews of the submissions made in the ComSet database. Preparing summaries, analysis, and recommended course of action for each submission.
- Identify and escalate sensitive, urgent or unusual regulatory issues, evolving trends, policy issues or concerns.
- Assist with reporting and other departmental initiatives.
What You Bring
Must-haves
- University degree, preferably in finance or economics
- Canadian Securities Course
- Conduct and Practices Handbook Course
- Minimum 2 to 3 years of financial industry experience
Nice to Haves
- Good understanding of CIRO’s Dealer Member rules and related policies, relevant securities legislation, policies and instruments.
- Knowledge of a Dealer Member’s operations, structure, the client’s relationship with a dealer, trading, settlement and clearing, and compliance systems and standards.
- Knowledge and understanding of various securities products.
- Strong written and verbal communications skills.
- Strong research, analytical and problem solving skills.
- Good customer service, dispute-resolution and escalation skills.
- Good file management and organizational skills.
- Effective networking and relationship-building skills.
- Effective interpersonal and change-management skills.
- Demonstrated ability to work proactively and independently in order to prioritize and complete tasks within established timelines.
- Proficiency with a variety of computer software applications.
What we offer:
- Competitive total rewards program including performance-based bonus *
- Employer paid Health Benefits and Spending Account that offer flexibility to meet your individual or family needs as of day one*
- Defined Contribution Pension Plan with company matching that starts on your first day of employment*
- Paid flex days and wellness days*
- Maternity and Parental Leave top up *
- Paid continuous learning and continuing development including designations*
- Asterisked offerings are not applicable to contracts
Why the Canadian Investment Regulatory Organization (CIRO):
Culture and Working Environment:
Life at CIRO is purpose and performance - driven. We foster an inclusive culture where teamwork, a forward-thinking attitude, and integrity are at the core of everything we do. This creates an environment where employees thrive, grow, and are empowered to learn and contribute their best.
Joining CIRO means becoming part of a dynamic and transparent organization that values accountability and is committed to maintaining the highest standards of regulatory oversight in the financial industry.
Our Commitment
CIRO is an equal opportunity employer and is committed to providing employment accommodation in accordance with the Ontario Human Rights Code and the Accessibility for Ontarians with Disabilities Act, 2005 (AODA). CIRO will provide accommodation to job applicants with disabilities throughout the recruitment process. Should you require accommodation, please contact Human Resources.
CIRO is a pan-Canadian organization that oversees all investment dealers and trading activity in marketplaces across Canada. This position requires the ability to communicate with employees in CIRO regional offices and other CIRO stakeholders across Canada. Accordingly, proficiency in both official languages of Canada (French and English) is needed. Due to the frequent interactions with internal and external English-speaking members, clients, representatives, firms, Canadian provincial and territorial securities regulators, and employees situated outside of Quebec, the position requires a fully bilingual candidate.
We are committed to creating an inclusive and barrier-free recruitment and selection process across Canada. We welcome applications from all qualified individuals and are dedicated to providing accommodations upon request for candidates participating in all aspects of the recruitment process, in accordance with applicable human rights and accessibility legislation.
Our Recruitment Process
- This posting reflects an active vacancy on our team
- We use automated (AI) tools to assist with candidate sourcing and communications. Applications are reviewed by our hiring team and hiring decisions are made by people.
- This role has a hiring range of $62,000 - $70,000 with the placement and offered salary being based on knowledge, skills, education/training and experience, as well as external market conditions and internal equity.
While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted. #LI-HYBRID #hiring
