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

This job posting is no longer available on Indeed. Find similar jobs:Manager jobs

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.

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


  • 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:

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

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