Case Assessment Officer

CIRO; Montreal (administrative region); Hybrid; CAD 62,000 - 70,000; Full time

Benefits offered by this job

Hybrid work environment

Health benefits and spending account

Defined contribution pension plan

Paid flex days and sick days

Maternity/Paternity leave top up

Ongoing learning and development

Job summary

CIRO is seeking a Case Assessment Officer in the Enforcement Department to conduct preliminary investigations of regulatory complaints, collect information, analyze findings, and prepare detailed reports with recommendations for action. The role involves liaising with CIRO staff and external bodies, maintaining records, and contributing to departmental initiatives.

Qualified candidates will have a finance/economics degree, relevant securities coursework, and 2–3 years of financial industry

Qualifications

• University degree in finance or economics.
• Canadian Securities Course.
• Conduct and Practices Handbook Course.
• 2–3 years of financial industry experience.

Responsibilities

• Collect and analyze financial documents and prepare reports.
• Assess and recommend actions for regulatory complaints.
• Maintain records of Case Assessment matters and prepare letters.
• Review submissions in the ComSet database and prepare summaries and action plans.
• Identify urgent or unusual regulatory issues and coordinate with CIRO and other bodies.

Skills

Communication skills

Analytical thinking

Independent worker

Education

University degree in finance or economics

Canadian Securities Course

Conduct and Practices Handbook Course

Job description

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.

The Case Assessment Officer (CAO) has an important role in fulfilling CIRO’s investor protection mandate. Working in our Enforcement Department, the CAO is responsible for conducting preliminary investigations of regulatory complaints received from public investors and other regulatory bodies, as well as other matters reported through CIRO’s Complaints and Settlements (ComSet) database. The CAO collects information and documents from complainants, CIRO-regulated firms and other information sources in order to assess and identify possible regulatory misconduct. The CAO conducts a comprehensive analysis of regulatory complaints and prepares detailed reports on the findings and recommendations for appropriate action including referring matters to other CIRO departments and regulatory organizations. The CAO will also liaise with other Enforcement staff, CIRO departments and other regulatory bodies to exchange information and coordinate referrals where appropriate.

Core Responsibilities:

• Collect and analyze financial documents and prepare comprehensive reports and written responses that are timely, accurate and conveyed in plain language.
• Accurately assess and recommend the appropriate course of action for regulatory complaints related to dealer conduct.
• Maintain detailed records of regulatory complaints and adhere to CIRO’s policies and procedures for reviewing, analysing, tracking and recording all Case Assessment matters.
• Prepare and issue detailed, concise letters relaying the outcome of the assessment to various stakeholders.
• Complete daily reviews of the submissions made in the ComSet database. Preparing summaries, analysis, and recommended course of action for each submission.
• Identify and elevate sensitive, urgent or unusual regulatory issues, evolving trends, policy issues or concerns.
• Assist with reporting and other departmental initiatives.

Key Skills and Competencies:

Must-haves

• University degree, preferably in finance or economics
• Canadian Securities Course
• Conduct and Practices Handbook Course
• Minimum 2 to 3 years of financial industry experience

Nice to Haves

• Good understanding of CIRO’s Dealer Member rules and related policies, relevant securities legislation, policies and instruments.
• Knowledge of a Dealer Member’s operations, structure, the client’s relationship with a dealer, trading, settlement and clearing, and compliance systems and standards.
• Knowledge and understanding of various securities products.
• Strong written and verbal communications skills.
• Strong research, analytical and problem solving skills.
• Good customer service, dispute-resolution and escalation skills.
• Good file management and organizational skills.
• Effective networking and relationship-building skills.
• Effective interpersonal and change-management skills.
• Demonstrated ability to work proactively and independently in order to prioritize and complete tasks within established timelines.
• Proficiency with a variety of computer software applications.

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 *
• 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 and are dedicated to providingaccommodations upon request for candidates participating in 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 to assist with 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 $62,000 - $70,000 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.