Position Title: Investigator (Member and Market Investigations)

Department: Enforcement 

Location: Montreal

Status: Permanent Full-time (Hybrid) 

Day in the life of: 

The Investigator is responsible for leading simultaneous, multiple investigations into alleged misconduct by CIRO member firms and their registered employees. This includes handling investigations into a wide range of subject matters, including but not limited to:

Conduct issues within the advisor/firm management of client relationships and activity

Corporate finance and investment banking activity

Financial, operational management and internal controls

Manipulative, deceptive, or other trading activity impactful to market integrity

Gatekeeping of non-registrants and other related industry activity

Supervision and compliance structures

Core Responsibilities: 

Effectively and efficiently planning and executing investigations for targeted completion within desired timeframes.

Collecting relevant evidence from a variety of sources, including internal departments, Member firms, and third parties.

Planning, scheduling, and leading interviews of complainants, witnesses, subjects, and or supervisors/officers to develop a sufficient evidentiary record.

Providing accurate, comprehensive updates to case management systems.

Document management and data analysis, working with large data sets and various software applications and efficiently organizing, analyzing and interpreting the data.

Critical thinking, comparing alleged misconduct against regulatory and evidentiary standards.

Presenting investigative findings (orally and in writing) to management and other constituents in an organized, concise, and timely fashion.

Contributing throughout the litigation process, including testifying at regulatory hearings, both in chief and cross examination.

Key Skills and Competencies: 

Thorough knowledge of investigation techniques and procedures, interviewing and rules of evidence.

Thorough knowledge of the securities industry and operations of the capital markets.

Knowledge of the organizational and supervision structures of investment dealers.

Exposure to CIRO rules (UMIR & Dealer Member).

Knowledge of provincial securities legislation.

Effective communication skills, both verbally and in writing.

Demonstrated ability to remain objective, tactful, disciplined and diplomatic, and dealing with adversarial situations.

High degree of judgment and professionalism.

Intellectual curiosity.

Ability to synthetize complex matters.

Engaged, proactive and organized.

Proficiency with MSOffice and strong ability with Excel.

An asset in having experience with analytic tools and programming experience such as SMARTS, Bloomberg, Power BI, VBA or other.

Education/Experience:

University degree, preferably in finance, business administration, accounting or other relevant sectors.

Successful completion of Canadian Securities Course and Conduct and Practices Handbook Course

Additional CSI courses, or professional designations/qualifications are an asset.

At least five years’ experience with a focus on compliance/surveillance operational or other related securities industry experience and/or strong investigation experience.

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

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.  

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. 

CIRO is a pan-Canadian organization that oversees all investment dealers and trading activity in marketplaces across Canada. This position requires the ability to communicate with employees in CIRO regional offices and other CIRO stakeholders across Canada. Accordingly, proficiency in both official languages of Canada (French and English) is mandatory. Due to the frequent interactions with internal and external English-speaking members, clients, representatives, firms, Canadian provincial and territorial securities regulators, and employees situated outside of Quebec, the position requires a fully bilingual candidate. 

While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted. 

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