Senior Investigator

Ontario Securities Commission•Toronto, ON

3d•Onsite

About The Position

The Ontario Securities Commission (OSC) is the statutory body responsible for regulating Ontario’s capital markets. The Enforcement Division of the OSC investigates and litigates breaches of securities laws in Ontario. The Market Abuse Team is hiring a Senior Investigator to identify and investigate potential misconduct in Ontario’s capital markets and to make recommendations for appropriate regulatory action. The Senior Investigator will plan investigations, gather evidence and analyze gathered information to make recommendations on whether 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 eight years of investigative experience specializing in capital markets investigations.
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 complex, technical 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, coach, mentor, inspire and demonstrate a service excellence mindset within the team and other OSC staff.

Nice To Haves

Experience with data analytics, OSINT gathering and law enforcement are assets.
Law enforcement experience specializing in financial investigations, fraud investigations, money laundering, proceeds of crime, and/or computer evidence analysis.
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 would be an asset.
Completion of the Canadian Securities Course, Traders Training Course and Derivatives Fundamentals Course, and have a solid understanding of the Acts, Ontario capital markets law violations, OSC and Enforcement priorities would be an asset.
Experience working at a securities dealer, exchange and/or regulator, with a focus on Canadian market structure, trading and market conduct, gaining deep insight into trading of securities and derivatives.
Experience analyzing financial market trading data with a focus on data mining to detect potential manipulative and deceptive methods of trading activity and insider trading activities.

Responsibilities

Develop investigation plans, lead investigations and witness examinations, collaborate on investigation case-file activities, share insights and expertise with the investigation team, and identify strategies to facilitate relevant information retrieval.
Provide advice and insight on the interpretation of market conduct analytical results and findings to support and inform investigative activities.
Prepare evidence gathering summonses, directions and affidavits.
Gather, review and interpret large volumes of documents and trading data.
Partner with technical functional areas such as open-source intelligence specialists, data scientists and application developers to enhance investigative capabilities and insights.
Prepare recommendation memos/reports including timelines, schedules of evidence, charts, graphs, visual presentations, and witness testimony synopsis.
Provide support to case prosecution/legal actions, prepare and present data analysis, interpretations and reports, and appear as a witness in hearings.
Participate in the development of policies, practices and projects for the Enforcement teams as needed.