Regulatory Case Assessment Analyst

CIRO / OCRI; Calgary; Hybrid; CAD 47,000 - 54,000; Full time

Benefits offered by this job

Hybrid work environment

Health benefits and spending account

Defined contribution pension plan

Paid flexible days and vacation

Professional development and designat

Job summary

CIRO is seeking a Case Assessment Analyst to screen submissions from Dealer Members, escalate matters requiring review, and prepare statistical and reporting outputs for enforcement activities. The role supports CIRO’s mission to protect investors and strengthen market integrity while working in a hybrid environment across Canada.

The analyst will assist with filing accuracy, collaborate with internal teams, and maintain ComSet guidance and processes.

Qualifications

• Broad knowledge of the Canadian securities industry and related policies.
• Experience in financial services and regulatory environments.
• Strong written and verbal communication skills.
• Knowledge of CIRO’s IDPC and MFD rules and securities legislation.
• Ability to prioritize, multi-task, and meet timelines.

Responsibilities

• Review submissions from Dealer Members in ComSet daily.
• Identify matters with regulatory issues for escalation and case opening.
• Prepare and present reports for supervisory review and respond to inquiries.
• Assist Dealer Members with filing errors or missing information.
• Collaborate with internal teams to resolve issues and document resolutions.
• Monitor ComSet emails and aging filings; follow up with dealers.

Skills

Securities knowledge

Financial experience

Communication skills

CIRO rules

Proactive & organized

File management

ComSet familiarity

Education

CSC/CCO/BME assets

Tools

Excel/Word/Power BI

Job description

CIRO is seeking a Case Assessment Analyst to screen submissions from Dealer Members, escalate matters requiring review, and prepare statistical and reporting outputs for enforcement activities. The role supports CIRO’s mission to protect investors and strengthen market integrity while working in a hybrid environment across Canada.

The analyst will assist with filing accuracy, collaborate with internal teams, and maintain ComSet guidance and processes.