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: 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...