Senior Investigator, Market Investigations
IIROC Investment Industry Regulatory of Canada - Toronto, ON

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Position Title: Senior Investigator, Market Investigations
Department: Enforcement Department
Location: Toronto (Head Office)

Description
Responsible for performing investigations into allegations of violations of the Universal Market Integrity Rules (UMIR) by dealer members, their registered personnel and/or market participants and for preparing reports and recommending disciplinary action, if any, based on the results of the investigations.

Education/Experience

  • University degree, preferably in finance, business administration, accounting or law and/or equivalent work experience
  • Completion of the Traders training course or relevant work experience
  • Canadian Securities Course (Conduct and Practices Handbook course and additional Canadian Securities Institute courses are assets)
  • Minimum of seven years’ experience with a focus on trading/market issues and/or other related securities industry experience combined with investigation experience

Required Skills and Competencies:

  • Thorough knowledge of the securities industry and operations of the capital markets
  • Thorough knowledge of investigation procedures and rules of evidence
  • Thorough knowledge of IIROC rules (UMIR & Dealer Member), trading systems and marketplace processes
  • Knowledge of provincial securities legislation
  • Knowledge of the business practices, products and services, as well as organizational structures of investment firms, dealer members and marketplaces
  • Experience in the analysis of business records, interviewing techniques, and giving evidence in court or in administrative proceedings
  • Effective communication of ideas and information orally and in writing
  • Demonstrated ability to remain objective, tactful and diplomatic

Applicants without all the above requirements, but with a strong trading and/or strong surveillance background are also encouraged to apply.

Qualified candidates should submit their resume in confidence quoting Reference #2012145, 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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