Investigative Trading Analyst

CIRO / OCRI • Vancouver, BC

16h • CA$85,000 - CA$95,000 • Hybrid

About The Position

The Investigative Trading Analyst will conduct objective, timely and effective post-trade reviews and preliminary investigations of possible violations of UMIR and Canadian Securities laws. As a self-regulatory organization, the Canadian Investment Regulatory Organization (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.

Requirements

• Post-secondary education.
• Canadian Securities Course.

Nice To Haves

• Trader Training Course, and Conduct and Practices Handbook Course and additional Canadian Securities Institute Courses are assets.
• Minimum 2-4 years’ experience in the securities industry, preferably in a Compliance/Research/Analyst role.
• Knowledge of securities regulations (UMIR, provincial securities legislation), trading systems and trading practices.
• Knowledge of Canadian market structure.
• Excellent organizational and analytical skills.
• Excellent interpersonal skills.
• Strong problem–solving skills and attention to detail.
• Excellent report writing skills, ability to write clearly and effectively.
• Thorough knowledge of Microsoft Office programs.
• Advanced Excel skills.
• Investigative experience (Trade reviews, client complaints, research analysis) would be an asset.

Responsibilities

• Conduct post-trade reviews and preliminary investigations into alleged UMIR or Canadian Securities law violations in a timely manner, compiling relevant evidence from various sources and conducting trading analysis.
• Prepare clearly written and concise preliminary investigation reports which incorporate all relevant information and documentation to support conclusions.
• Participate in special projects such as regulatory reviews and initiative committees.
• Participate in professional development in relevant areas of the securities industry.
• Develop and maintain cooperative relationships with other regulatory and investigative departments.

Benefits

• Competitive base salary in alignment with market
• 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 sick days
• Vacation days
• Maternity Leave Of Absence/Paternity Leave Of Absence top up
• Paid continuous learning and continuing development including designations

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Associate degree