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

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

Description
The Manager, Market Investigations oversees a team of investigations responsible for investigating allegations of violations of the Universal Market Integrity Rules (UMIR) by Member Firms, their registered personnel and/or market participants.

Key Responsibilities

  • Manage the investigation process and all Toronto market integrity investigations
  • Oversee the development, training and mentoring of investigative staff, with emphasis on investigators responsible for the investigation of market related matters
  • Liaise with and provide support to investigators and Enforcement Counsel in the hearing preparation process
  • In certain circumstances, participate as investigator in addition to managing the investigation process
  • Act as a liaison with other IIROC departments as well as regulatory bodies, Dealer Members, Market Participants and the public

Education/Experience

  • University degree, preferably in finance, business administration, accounting or law and/or equivalent work experience
  • Completion of the Traders Training course
  • Minimum of 7 years’ experience, preferably in a management role, 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 provincial securities legislation, trading systems and marketplace processes, IIROC rules (UMIR & Dealer Member)
  • Knowledge of IIROC’s complaint, investigation and disciplinary processes
  • Solid understanding of the work performed in areas such as IIROC Policy, Registration, Trading Conduct Compliance and Surveillance
  • Thorough knowledge of the business practices and organizational structures of investment firms and marketplaces
  • Thorough knowledge of the products and services of dealer members, participants and marketplaces
  • Demonstrated ability to lead a team, establish team goals and identify opportunities where team can collaborate and achieve them.
  • Demonstrated ability to coach and mentor employees to achieve results.
  • Demonstrated strategic thinking ability with excellent verbal and written communication skills.

Qualified candidates should submit their resume in confidence quoting Reference # 2012144, 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...