Case Assessment Analyst (12 month contract)

Socket.dev; Montreal (administrative region); Hybrid; CAD 47,000 - 54,000; Full time

Benefits offered by this job

Hybrid work environment

Health benefits

Pension plan

Paid time off

Learning & development

Job summary

Canadian Investment Regulatory Organization (CIRO) is seeking a Case Assessment Analyst in Canada to screen and analyze submissions from Dealer Members using established guidelines. You will escalate matters and prepare reporting for supervisory review, supporting teams and ensuring accurate filings.

The role requires strong knowledge of the Canadian securities industry, excellent communication skills, and experience with Excel/Power BI. CIRO offers a hybrid work environment across Canada.

Qualifications

• Broad knowledge of the Canadian securities industry.
• Financial industry experience.
• Strong written and verbal communications skills.
• Understanding of CIRO’s IDPC and MFD rules and related policies.

Responsibilities

• Review submissions by Dealer Members in ComSet daily.
• Identify matters requiring further review or escalation.
• Prepare reports of ComSet filings for supervisory review.
• Support Dealer Member firms with filing errors or missing information.
• Collaborate with internal departments to resolve issues.

Skills

Securities knowledge

Communication skills

Excel/Power BI

Regulatory reporting

Independent prioritization

Education

Canadian Securities Course (CSC)

Tools

Excel

Power BI

Job description

As a self-regulatory organization, the Canadian Investment Regulatory Organization (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.

As a member of the Enforcement department, the Case Assessment Analyst leverages established guidelines to screen and analyze matters reported by Dealer Member firms, escalating those requiring further review to Case Assessment Officers and prepares and provides statistical reporting.

Core Responsibilities:

• Review submissions made by Dealer Members in the Complaints and Settlement Reporting System (ComSet) daily

• Utilizing established criteria, identify matters with regulatory issues that require further review, escalation and a case to be opened

• Prepare reports of ComSet filings for a supervisory review, and address queries and issues identified by the broader team as part of this review

• Support Dealer Member firms with any filing errors or missing information

• Collaborate with internal departments to resolve issues and record the resolutions

• Monitor and respond to emails received via the ComSet help mailbox or directly from Dealer Member firms

• Monitor the status of ComSet filings and follow-up with Dealer Member firms on aging cases

• Ensure that the ComSet help guide for dealers is updated and maintained

• Provide statistical reporting and submission analytics

• Provide support and participate in team projects

• Contribute to CIRO’s efforts to provide firm, fair and effective Enforcement to protect investors, enhance industry standards and strengthen market integrity

Key Skills and Competencies:

Must-haves

• Broad knowledge and understanding of the Canadian securities industry

• Financial industry experience

• Strong written and verbal communications skills

• An understanding of CIRO’s IDPC and MFD rules and related policies, relevant securities legislation, policies and instruments, particularly around reporting requirements

• Demonstrated ability to work proactively and independently to prioritize, multi-task and complete tasks within established timelines

• Good file management and organizational skills

• Proficiency with a variety of computer software applications including Excel, Word and Power BI

Nice to Haves

• Canadian Securities Course (CSC), Chief Compliance Officers Qualifying Examination (CCO), and Branch Managers’ Examination (BME) Course are considered assets

• Experience with ComSet

• Strong research, analytical and problem-solving skills

• Knowledge and understanding of various securities products

• Good customer service skills

• Effective networking and relationship-building skills

• Effective interpersonal skills

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

Our Commitment:

CIRO is an equal opportunity employer and is committed to providing employment accommodationin accordance withthe 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 andare dedicated to providingaccommodations upon request for candidatesparticipatingin all aspects of the recruitment process,in accordance withapplicable human rights and accessibility legislation.

OurRecruitment Process:

• This posting reflects an active vacancy on our team
• We use automated (AI) tools toassistwith 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 $47,000 - $54,000 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