Investigator II

Ontario Securities Commission•Toronto, ON

About The Position

The Ontario Securities Commission (OSC) is the statutory body responsible for regulating Ontario’s capital markets in accordance with the mandate established in the provincial Securities Act and the Commodity Futures Act. The mandate of the OSC is to provide protection to investors from unfair, improper or fraudulent practices, to foster fair, efficient and competitive capital markets and confidence in the capital markets, to foster capital formation, and to contribute to the stability of the financial system and the reduction of systemic risk. This mandate is performed through policy, operational, adjudication and enforcement work. The OSC also contributes to national and global securities regulation development. The Enforcement Division of the Ontario Securities Commission investigates and litigates breaches of securities laws in Ontario. Team members work closely with other securities regulators, self-regulatory organizations and law-enforcement agencies to enhance initiatives to fight misconduct. A strong visible enforcement presence assists in protecting investors from unfair, improper or fraudulent practices, fosters fair, efficient and competitive capital markets, fosters capital formation, and contributes to the stability of the financial system and the reduction of systemic risk. This opportunity is considered to be a business critical role supporting the Enforcement Division. The Regulatory Investigation Team within the Enforcement Division is hiring Investigators to conduct investigations into breaches of Ontario securities law and make recommendations for appropriate regulatory action. Leveraging their prior investigative experience, the investigator will plan investigations, gather evidence, and analyze gathered information to make recommendations to move forward with litigation and participate in the litigation process when appropriate.

Requirements

Completion of an undergraduate degree in Business, Finance, Accounting, Criminology, Computer Science, or other STEM (Science, Technology, Engineering or Math) degree.
Minimum of 5 years of investigative experience specializing in financial investigations, fraud investigations, money laundering, proceeds of crime, and/or computer evidence analysis.
Law enforcement experience specializing in financial investigations, fraud investigations, money laundering, proceeds of crime, and/or computer evidence analysis.
Previous experience in an intelligence gathering role and/or formal training on intelligence extraction.
Strong understanding and knowledge of the capital markets industry, trading products, and role of participants as well as administrative and criminal justice systems, and securities legislation.
Strong understanding of emerging crypto currencies, crypto assets, crypto platforms, and current social media.
Strong project management and problem-solving skills with the ability to demonstrate professional skepticism, resourcefulness, and good business judgment.
Excellent communication skills with the ability to actively listen, probe, and interpret information, including in examining witnesses, and to present information orally and in writing coherently, concisely, and persuasively.
Excellent interpersonal skills and a demonstrated collaborative and results-oriented style in working effectively both within a team structure and independently, while delivering on expectations in a dynamic environment.
Superior team-based skills necessary to collaborate, inspire and demonstrate a service excellence mindset within the team and other OSC staff.

Nice To Haves

Experience with data analytics, open source intelligence gathering, and law enforcement or intelligence agency investigation techniques are assets as is experience and knowledge of our capital markets.
Completion of the Canadian Securities Course and/or other related industry courses is an asset.
Strong understanding of emerging crypto currencies, crypto assets, crypto platforms, and social media is an asset.

Responsibilities

Apply investigative and industry experience to assess referrals and develop a structured investigation plan, adjusting and adapting the investigation strategy as the case develops.
Work independently, or within a multi-disciplinary investigation team, to establish priorities, identify critical tasks and advance investigations forward in a timely manner.
Manage large volumes of documents and data and work with data scientists to implement appropriate data analytics/quantitative analyses approaches.
Use your knowledge of open-source intelligence gathering and work with open-source intelligence specialists.
Collect, review and analyze documentary evidence and testimony in accordance with best practices, and identify and recommend solutions to potential issues.
Participate in making thorough recommendations as to appropriate proceedings, considering potential defenses, and prepare evidence briefs that support the recommendation.
Work collaboratively with the litigator on the preparation for court or hearings (disclosures, witnesses, hearing briefs and settlement discussions) and testify as a fact witness.