Position Title: Manager, Market Investigations
Department: Enforcement Department
Location: Toronto (Head Office)
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.
- 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
- 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.
The Investment Industry Regulatory Organization of Canada is the national self-regulatory organization which oversees all investment dealers...