Manager, Investigations

40 Temperance Street
Suite 2600
Toronto, ON , CAN

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.

The Manager, Investigations provides guidance and leadership to a team investigating potential regulatory violations by member firms and individual registrants subject to CIRO oversight.

Key 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

Education/

Experience:

• University degree, preferably in finance, business administration, accounting, law, or equivalent work experience
• Professional qualifications an asset (CA, CFA, etc)
• 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

Key Skills and

Competencies:

• 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

What we offer:

• Competitive base salary in alignment with market
• Performance based bonus *
• Hybrid work environment
• 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 *
• Maternity Leave Of Absence/Paternity Leave Of Absence top up *
• Paid continuous learning and continuing development including designations

* Asterisked offerings are not applicable to contracts

Why the Canadian Investment Regulatory Organization (CIRO):

Our purpose and our impact:

With offices across Canada - from Vancouver to Montreal, our mission is to promote healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures. As regulators, we understand that we…