• Investigator or Senior Investigator
  • Position: Investigator or Senior Investigator
  • Job/Opportunity Number: INVES001868
  • Unit/Department: Enforcement
  • Organization: IIROC
  • Website: www.iiroc.ca
  • Location: Toronto
  • Term: Permanent; full-time
  • Posting Date:
    April 19, 2022
  • Deadline to Apply:
  • Compensation:

    The Investment Industry Regulatory Organization of Canada is the pan‑Canadian self‑regulatory organization that oversees all investment dealers and trading activity on Canada’s debt and equity marketplaces.

    IIROC is committed to protecting investors, protecting market integrity, and building Canadians’ trust in financial regulation and the people managing their investments.


    The Investigator/Sr. Investigator is responsible for performing investigations into the conduct of IIROC member firms and their registered employees. This will include the collection of all relevant evidence through interviewing witnesses and/or analyzing documentary evidence, related case management, and preparing concise recommendation reports.

    Also responsible for providing litigation support to Enforcement Counsel through IIROC disciplinary process including attending as a witness at IIROC disciplinary hearings.

    Key Responsibilities
    • Plan and conduct investigations into alleged violations of IIROC rules
    • Work closely with Enforcement Counsel in matters relating to the disciplinary process
    • Develop and maintain information resources to assist in the overall regulation of capital markets
    • Timely preparation of concise reports to summarize investigative findings
    • University degree, preferably in finance, business administration, accounting or law
    • Successful completion of courses offered by Canadian Securities Institute (CSI) (ie: Canadian Securities Course, Conduct and Practices Handbook Course, and Trader Training Course)
    • Additional CSI courses, or professional designations/qualifications are an asset
    • Five to ten years’ experience with a focus on compliance, operational, trading/market issues or other related securities industry experience combined with 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 IIROC 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 MsOffice (Excel, Accesss, 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 all applicants, only those who most closely match the position requirements will be contacted for interview.