Case Assessment Officer Job In Marieville

Job Description

40 Temperance Street
Suite 2600
Toronto, ON M5H0B4, CAN

Description

Position Title: Case Assessment Officer

Department: Case Assessment

Region: Toronto

Status: Permanent Full-time (Hybrid)

CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces.

CIRO is carrying on the regulatory functions of the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada, and is committed to the protection of investors, providing efficient and consistent regulation, and building Canadians’ trust in financial regulation and the people managing their investments.

Key Responsibilities:

• Review, analyze, and assess case assessment files.
• Prepare and send correspondence and documentary requests.
• Prepare comprehensive written reports outlining the facts and provide recommendations.
• Conduct telephone calls with complainants and others where appropriate.
• Communicate with securities commission staff and other administrative and law enforcement agencies where appropriate.
• Obtain input from Management, Compliance staff, Enforcement counsel or others on issues arising in cases where appropriate.
• Draft administrative resolutions.
• Communicate with Enforcement Department Staff on escalated cases when required.

Education and Experience:

• Minimum 3 years securities industry.
• Previous experience with a mutual fund dealer or a mutual fund company
• Strong written and verbal skills.
• Strong knowledge of Microsoft Office
• Self-motivated
• Well-developed research, analytical, problem-solving, and organizational skills
• University degree or equivalent
• Canadian Securities Course
• Branch Manager’s Course and/or the Chief Compliance Officer’s Course

Key Skills and Competencies:

• Broad knowledge and understanding of the Canadian securities industry, specifically the mutual fund industry
• Broad knowledge of regulations and their applications, in particular, By-laws, Regulations, Policies and Rules of the CIRO.
• Functions of other regulatory bodies.

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

CIRO 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.