Investigator
IIROC Investment Industry Regulatory of Canada - Toronto, ON

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Position Title: Investigator
Department: Enforcement Department
Location: Toronto (Head Office)

Description
The Investigator is responsible for the planning, execution and reporting of investigations related to the conduct of IIROC member firms and their registered employees. This includes the drafting of detailed investigation plans and the collection of all relevant evidence through interviewing witnesses and/or analyzing documentary evidence. The Investigator assists the Senior Investigators during the execution of large, complex investigations.

This role is also responsible for providing litigation support to Enforcement Counsel through IIROC disciplinary process including attending as a witness at IIROC disciplinary hearings.

Education

  • University degree, preferably in finance, business administration, accounting or law
  • Successful completion of Canadian Securities Course and Conduct and Practices Handbook Course
  • Enrolment in the CFA, CMA or CGA program is an asset
  • Additional CSI courses are an asset

Required Skills and Competencies:

  • Five years’ experience with a focus on compliance, operational or other related securities industry experience and/or strong investigation experience
  • Good working knowledge of the securities industry and operations of the capital markets
  • Good working knowledge of investigation procedures and rules of evidence
  • Good working knowledge of the business practices and organizational structures of investment firms and marketplaces
  • Good working knowledge of the IIROC Dealer Member Rules
  • Good working knowledge of the products and services of dealer members, participants and marketplaces
  • Knowledge of provincial securities legislation
  • Knowledge of trading systems and marketplace processes
  • Experience in the analysis of business records, interviewing techniques, and giving evidence in court or in administrative proceedings
  • Effective oral, written and presentation skills
  • Demonstrated ability to remain objective, tactful and diplomatic in a stressful environment.

Qualified candidates should submit their resume in confidence quoting Reference #2012134, using the following link: http://www.iiroc.ca/Pages/Careers.aspx

Although we appreciate all applicants, only those who most closely match job requirements may be contacted for interview.


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About this company
The Investment Industry Regulatory Organization of Canada is the national self-regulatory organization which oversees all investment dealers...