Senior Case Assessment Officer

Job description

Position Title: Senior Case Assessment Officer Department: Enforcement: Location: Montreal: Employment Type: Regular: Working Arrangement: Full-time, Hybrid: About Us: 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. About this Opportunity: The Senior Case Assessment Officer (Sr. CAO) has an important role in fulfilling CIRO’s investor protection mandate. Working in our Enforcement Department, the Sr. 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 Sr. CAO collects information and documents from complainants, CIRO-regulated firms and other information sources in order to assess and identify possible regulatory misconduct. The Sr. CAO conducts a comprehensive analysis of regulatory complaints and...