Investigative Trading Analyst (12 months contract)

CIRO/OCRI; Toronto; On-site; CAD 70,000 - 90,000; Full time

Job summary

A Canadian regulatory organization is seeking an Investigative Trading Analyst for a 12-month contract to assess potential violations. The role involves preparing reports, supporting new monitoring tools, and requires a relevant degree and industry experience. Bilingual candidates (French and English) are preferred. This position offers a competitive salary and a hybrid work environment with various benefits including health insurance and a pension plan.

Benefits

Competitive base salary

Performance-based bonus

Health benefits

Defined Contribution Pension Plan

Paid flex days and sick days

Continuous learning support

Qualifications

• Minimum 2 years securities industry experience.
• Completion of the Canadian Securities Course and relevant examinations.
• Proficiency in both official languages of Canada (French and English).

Responsibilities

• Assessing and conducting preliminary investigations of market violations.
• Prepare reports recommending actions based on evidence.
• Support development of new monitoring tools.

Skills

Excellent writing and verbal skills

Research and analytical skills

Attention-to-detail

Knowledge of Canadian securities regulation

Ability to manage multiple case files

Understanding of UMIR

Strong aptitude for new technology

Experience with programming languages

Education

Undergraduate degree or post-secondary degree/diploma

CFA designation enrollment

Tools

Python

SQL

PowerBI

Job description

Overview

Position Title: Investigative Trading Analyst (12 months contract)

Department: Trading Review & Analysis

Location: Toronto, Vancouver, Montreal, Calgary

Status: Contract (Hybrid)

Day in the life of:

Working in our Trading Review & Analysis (TR&A) department, Market Regulation division, the Investigative Trading Analyst is responsible for assessing and conducting preliminary investigations of possible violations of the Universal Market Integrity Rules (UMIR), Investment Dealer and Partially Consolidated (IDPC) Rules and Securities Act referred to TR&A from our Equity Market Surveillance department, Dealer Members, public investors and other regulatory bodies.

Core Responsibilities:

• Conduct Preliminary Investigations
• Prepare reports recommending courses of action based on the evidence gathered
• Support the development and adoption of new monitoring tools and systems
• Participate in special projects, such as regulatory reviews and initiative committees
• Contribute to the Department’s operations and initiatives

Key Skills and Competencies:

• Undergraduate degree or post-secondary degree/diploma
• Completion of the Canadian Securities Course, Trader Training Course and Conduct and Practices Handbook examination
• Completion of (or enrolment in) the Chartered Financial Analyst (“CFA”) designation an asset
• Minimum 2 years securities industry experience
• Knowledge of Canadian securities regulation and regulatory framework
• Understanding of UMIR
• Understanding of CIRO’s main objectives and priorities in regulation issues
• Excellent writing and verbal skills
• Well-developed research, analytical, problem-solving, and data mining skills
• Ability to analyse complex fact sets relative to initial allegation(s), and articulate findings in a comprehensive and concise manner
• Attention-to-detail and ability to exercise sound judgement
• Ability to manage multiple case files concurrently and to complete each within ascribed timelines
• Strong aptitude for new technology
• Exposure to programming (such as Python, Jupyter notebooks, SQL, PowerBI or others) would be an asset
• Knowledge of trading systems and trading practices
• Interest in ongoing learning and professional development in a compliance capacity

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.

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 a regulator, we understand that we are all investors. Therefore, a career with us is a career with purpose, 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.

Our Commitment:

CIRO is an equal opportunity employer and is committed to providing employment accommodation in accordance with the 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.

CIRO is a pan-Canadian organization that oversees all investment dealers and trading activity in marketplaces across Canada. This position requires the ability to communicate with employees in CIRO regional offices and other CIRO stakeholders across Canada. Accordingly, proficiency in both official languages of Canada (French and English) is needed. Due to the frequent interactions with internal and external English-speaking members, clients, representatives, firms, Canadian provincial and territorial securities regulators, and employees situated outside of Quebec, the position requires a fully bilingual candidate.

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

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