Investment Complaint jobs in Surrey, BC

As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) (https://www.ciro.ca/about-ciro) is committed to setting high regulatory standards for the investment industry, safeguarding investors, and supporting the integrity of Canada’s capital markets. Join a growing team and contribute to the dynamic and complex world of Canadian capital markets.

The Investigative Trading Analyst will conduct objective, timely and effective post-trade reviews and preliminary investigations of possible violations of UMIR and Canadian Securities laws.

Core Responsibilities:

• Conduct post-trade reviews and preliminary investigations into alleged UMIR or Canadian Securities law violations in a timely manner, compiling relevant evidence from various sources and conducting trading analysis.
• Prepare clearly written and concise preliminary investigation reports which incorporate all relevant information and documentation to support conclusions.
• Participate in special projects such as regulatory reviews and initiative committees. Participate in professional development in relevant areas of the securities industry.
• Develop and maintain cooperative relationships with other regulatory and investigative departments.

Key Skills and Competencies:

Must-haves

• Post-secondary education.
• Canadian Securities Course.
• Trader Training Course, and Conduct and Practices Handbook Course and additional Canadian Securities Institute Courses are assets.

Nice to Haves

• Minimum 2-4 years’ experience in the securities industry, preferably in a Compliance/Research/Analyst role.
• Knowledge of securities regulations (UMIR, provincial securities legislation), trading systems and trading practices.
• Knowledge of Canadian market structure.
• Excellent organizational and analytical skills.
• Excellent interpersonal skills.
• Strong problem–solving skills and attention to detail.
• Excellent report writing skills, ability to write clearly and effectively.
• Thorough knowledge of Microsoft Office programs.
• Advanced Excel skills.

• Investigative experience (Trade reviews, client complaints, research analysis) would be an asset.

What we offer:

• Competitive base salary in alignment with market
• Performance based bonus *
• Hybrid work environment
• Employer paid Health Benefits and Spending Account that offer flexibility to meet your individual or family needs as of day one
• Defined Contribution Pension Plan with company matching that starts on your first day of employment *
• Paid flex days and sick days *
• Vacation days
• Maternity Leave Of Absence/Paternity Leave Of Absence top up *
• Paid continuous learning and continuing development including designations

• Asterisked offerings are not applicable to contracts
  

Why the Canadian Investment Regulatory Organization (CIRO):

Our purpose and our impact:

With offices across Canada - from Vancouver to Montreal, our mission is to promote healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures. As regulators, we understand that we are all investors, and therefore a career with us is a purposeful career: protecting our future.

Culture and Working Environment:

Life at CIRO is purpose and performance- driven. We foster an inclusive culture where teamwork, a forward-thinking attitude, and integrity are at the core of everything we do. This creates an environment where employees thrive, grow, and are empowered to learn and contribute their best.

Joining CIRO means becoming part of a dynamic and transparent organization that values accountability and is committed to maintaining the highest standards of regulatory oversight in the financial industry.

Looking for a career where you can safeguard the integrity of Canadian markets? Join CIRO and be part of the team that secures our financial future.

At CIRO, you’ll be part of an organization driven by Pride in Excellence, a strong Focus on Well‑being, and A Shared Purpose that connects our people to meaningful work. We’re committed to fostering an inclusive, supportive environment where you can grow and make an impact. Learn more about what it’s like to build your career at CIRO by exploring our Careers page: https://www.ciro.ca/about-ciro/careers (https://www.ciro.ca/about-ciro/careers)

Our Commitment:

CIRO is an equal opportunity employer and is committed to providing employment accommodation in accordance with the Ontario Human Rights Code and the Accessibility for Ontarians with Disabilities Act, 2005 (AODA). CIRO will provide accommodation to job applicants with disabilities throughout the recruitment process. Should you require accommodation, please contact Human Resources.

We are committed to creating an inclusive and barrier-free recruitment and selection process across Canada. We welcome applications from all qualified individuals and are dedicated to providing accommodations upon request for candidates participating in all aspects of the recruitment process, in accordance with applicable human rights and accessibility legislation.

Our Recruitment Process:

• This posting reflects an active vacancy on our team
• We use automated (AI) tools to assist with candidate sourcing and communications. Applications are reviewed by our hiring team and hiring decisions are made by people.
• This role has a hiring range of $85,000 - $95,000 with the placement and offered salary being based on knowledge, skills, education/training and experience, as well as external market conditions and internal equity.

While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted. #LI-HYBRID #Hiring