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)

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.


  • 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:

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...