Senior Complaints & Inquiries Specialist

CIRO / OCRI; Calgary; Hybrid; CAD 92,000 - 110,000; Full time

Benefits offered by this job

Competitive base salary

Performance-based bonus

Employer-paid health benefits

Defined contribution pension plan

Paid flex and sick days

Vacation days

Continuous learning support

Job summary

CIRO / OCRI is seeking a Senior Complaints & Inquiries Specialist to assist investors with inquiries and complaints. This permanent, full-time position offers a hybrid work environment and involves responding efficiently to public inquiries.

The ideal candidate has strong empathy, exceptional communication skills, and a thorough understanding of securities regulation. Key responsibilities include assessing complaints, providing accurate information, and identifying trends to management. Salary ranges from $92K to $110K based on experience.

Qualifications

• Strong empathy and passion for assisting investors.
• Outstanding written and verbal communication skills.
• Ability to communicate complex issues clearly.
• Knowledge of securities and capital markets regulation.
• Experience dealing with distressed individuals.

Responsibilities

• Act as first contact for public investor inquiries and complaints.
• Provide accurate information about CIRO’s role and complaint process.
• Collect and analyze information from investors.
• Accurately assess public complaints and determine actions.
• Identify trends and policy issues to management.

Skills

Empathy

Communication skills

Attention to detail

Problem-solving

Research skills

Bilingual (English and French)

Job description

Position Title: Senior Complaints & Inquiries Specialist

Department: Complaints & Inquiries

Location: Calgary, Montreal, Toronto, or Vancouver

Status: Permanent Full-Time (Hybrid)

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 Complaints & Inquiries Department (C&I) is the first point of contact for the majority of incoming inquiries and complaints to CIRO. C&I is the main contact for public investors, but also plays an important triage role for other types of contacts.

In this role, you will assist investors on a daily basis by responding efficiently and helpfully to investor inquiries and acting as the initial contact for all public investor complaints, both verbal and written. You will effectively convey CIRO’s mandate of investor protection through your communications with the public, providing consistent and accurate information about CIRO’s role, the complaint process, and the complainant’s options regarding compensation, if applicable. The role is research intensive, as the department receives a wide variety of inquiries and complaints involving trading on Canadian markets, CIRO’s role, investment and trading rules, the activity of our dealers, and more.

You will routinely communicate with other CIRO departments in researching inquiries or complaints and often provide written responses to investors explaining complex or contentious matters in plain language. In appropriate cases you will assist investors who have non‑regulatory complaints until either their issue has been resolved or they have been provided with complete information about their options for resolving the issue. In some instances, this will involve working with senior staff at the CIRO member firm to resolve the investor’s issues.

You will assess all public complaints received and make determinations as to the potential violations and, if regulatory in nature, refer those complaints to the appropriate CIRO department immediately after fully explaining CIRO’s role, the complaint process, and compensation options to the complainant. You will also assist in identifying and reporting to management evolving trends and policy issues or concerns.

Core Responsibilities

• Act as the first point of contact for all public investor inquiries and complaints, including those related to dealer conduct, marketplace trading, and CIRO’s Debt Information Processor role.
• Provide consistent, thorough, and accurate information about CIRO’s role, the complaint process, and compensation options to help manage complainant expectations.
• Collect and analyze information from the investor and provide timely, accurate responses conveyed in plain language.
• Accurately assess and determine the appropriate course of action for all public complaints.
• Accurately record the receipt of all complaints and inquiries in the internal case management system and ensure all documents and correspondence are attached.
• Identify to management evolving trends, egregious matters, policy issues or concerns.

Key Skills and Competencies

Must‑haves

• A passion for assisting investors with strong empathy.
• Outstanding written and verbal communication skills.
• Accuracy and strong attention to detail.
• Ability to articulate and communicate complex issues to a variety of audiences.
• Understanding of current and emerging issues in securities and capital markets regulation.
• Strong networking and relationship‑building/collaboration skills.
• Strong personal initiative, problem‑solving and decision‑making skills, research and analytical skills, creativity, and ability to work independently and as part of a team.
• Ability to work in a fast‑paced environment, balancing multiple priorities within specific time deadlines and with frequent interruptions.
• Working knowledge and application of dispute resolution methods.
• Demonstrated ability to communicate with individuals who are distressed, emotionally distraught or who may require special accommodation.
• Bilingual in French and English (both verbal and written) preferred.

Nice to Haves

• Ability to work in both English and French is an asset.

Benefits

• Competitive base salary in alignment with market.
• Performance‑based bonus.
• Hybrid work environment.
• Employer‑paid health benefits and spending account offering flexibility to meet individual or family needs from day one.
• Defined contribution pension plan with company matching starting 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)

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‑driven 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.

We are 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: CIRO Careers.

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.

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 providing accommodations upon request for candidates participating in all aspects of the recruitment process, in accordance with applicable human rights and accessibility legislation.

Our Recruitment 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 $92,000 – $110,000, with the placement and offered salary 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.