Position Title: Investigator
Department: Enforcement
Location: Toronto
Status: Permanent Full-time (Hybrid)
The Investigator is responsible for leading simultaneous, multiple investigations into alleged misconduct by New SRO member firms and/or their registered employees. This includes handling complex investigations into a wide range of subject matters, including but not limited to:

• Manipulative, deceptive, or other trading activity impactful to market integrity
• Conduct issues within the advisor/firm management of client relationships and activity
• Corporate finance and investment banking activity
• Financial, operational management and internal controls
• Gatekeeping of non-registrants and other related industry activity
• Supervision and compliance structures

Key Responsibilities:

• Plan and conduct investigations into alleged violations of New SRO rules
• Contributing throughout the litigation process, including testifying at regulatory hearings, both in chief and cross examination
• Develop and maintain information resources to assist in the overall regulation of capital markets
• 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
• Interacting with peers, management and external parties, providing excellent representation of a specialized area of regulatory responsibility

Education/Experience:

• University degree, preferably in finance, business administration, or accounting
• Successful completion of Canadian Securities Course and Conduct and Practices Handbook Course
• Additional CSI courses, or professional designations/qualifications are an asset
• At least seven years’ experience with a focus on compliance, operational or other related securities industry experience and/or strong investigation experience

Key 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 trading systems and marketplace processes
• Thorough knowledge of the New SRO rules (UMIR & Dealer Member)
• Knowledge of provincial securities legislation
• 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
• Experience in the analysis of business records, interviewing techniques, and giving evidence in court or in administrative proceedings
• Proficiency at advanced level with MS Office (Excel, Access, Outlook, CRM etc.) an asset
• Effective communication of ideas and information both verbally and in writing
• Demonstrated ability to remain objective, tactful, disciplined and diplomatic

While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted.
New SRO is committed to employment practices that are inclusive and accessible. Accommodations for individuals with disabilities are available. Should you require accommodation, please contact Human Resources.
#hiring #LI-HYBRID

Job Type: Full-time

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