Manager, Investigations

CIRO / OCRI • Montreal, QC

4d • CA$123,500 - CA$136,000 • Hybrid

About The Position

The Manager, Investigations provides guidance and leadership to a team investigating potential regulatory violations by member firms and individual registrants subject to CIRO oversight. As a self-regulatory organization, our mission is to promote healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures. At the Canadian Investment Regulatory Organization (CIRO), we are 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

• University degree, preferably in finance, business administration, accounting, law, or equivalent work experience
• Completion of CIRO proficiency requirements, including trading and supervisory elements
• Minimum of ten years’ experience with a focus on trading/market issues and/or other related securities industry experience combined with investigative experience
• Thorough knowledge of the securities industry and operations of the capital markets
• Thorough knowledge of organizational structure, business lines, and operations of investment dealers, trading systems, and marketplaces
• Thorough knowledge of investment products and services
• Thorough knowledge of investigation procedures and rules of evidence
• Through knowledge of CIRO rules, including UMIR, provincial securities legislation, and the securities regulatory environment
• In depth knowledge of CIRO’s complaint, investigation and disciplinary processes
• Good understanding of work performed in other CIRO functional areas such as Business Conduct, Trade Conduct, Surveillance, and Financial & Operational Compliance
• Demonstrated ability to think strategically with excellent communication and presentation skills
• Demonstrated ability to provide leadership and coaching, apply sound judgment, and work under pressure in adversarial situations

Nice To Haves

• Professional qualifications an asset (CA, CFA, etc)

Responsibilities

• Manage the investigation process and overall case management of the team
• Oversee the development, training and mentoring of investigative staff
• Contribute to changes in policies and procedures with an emphasis on best practices in the investigation process
• Provide support to integrated teams of investigators and counsel through the investigation and prosecution process, including contested hearings
• Participate in the Enforcement management team of CIRO
• In certain cases, participate as investigator
• Liaise with other CIRO departments, regulatory bodies, Dealer Members, Market Participants, and law enforcement agencies
• Represent the organization externally on Enforcement issues

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: Manager