Job Description

As a self-regulatory organization, our mission is to promote healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures. At the Canadian Investment Regulatory Organization (CIRO), we are 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 Manager, Investigations provides guidance and leadership to a team investigating potential regulatory violations by member firms and individual registrants subject to CIRO oversight.

Key Responsibilities:

• Manage the investigation process and overall case management of the team
• Oversee the development, training and mentoring of investigative staff
• Contribute to changes in policies and procedures with an emphasis on best practices in the investigation process
• Provide support to integrated teams of investigators and counsel through the investigation and prosecution process, including contested hearings
• Participate in the Enforcement management team of CIRO;
• In certain cases, participate as investigator.
• Liaise with other CIRO departments, regulatory bodies, Dealer Members, Market Participants, and law enforcement agencies
• Represent the organization externally on Enforcement issues

Education/Experience:

• University degree, preferably in finance, business administration, accounting, law, or equivalent work experience
• Professional qualifications an asset (CA, CFA, etc)
• Completion of CIRO proficiency requirements, including trading and supervisory elements
• Minimum of ten years’ experience with a focus on trading/market issues and/or other related securities industry experience combined with investigative experience

Key Skills and Competencies:

• Thorough knowledge of the securities industry and operations of the capital markets
• Thorough knowledge of organizational structure, business lines, and operations of investment dealers, trading systems, and marketplaces
• Thorough knowledge of investment products and services
• Thorough knowledge of investigation procedures and rules of evidence
• Through knowledge of CIRO rules, including UMIR, provincial securities legislation, and the securities regulatory environment
• In depth knowledge of CIRO’s complaint, investigation and disciplinary processes
• Good understanding of work performed in other CIRO functional areas such as Business Conduct, Trade Conduct, Surveillance, and Financial & Operational Compliance
• Demonstrated ability to think strategically with excellent communication and presentation skills

Demonstrated ability to provide leadership and coaching, apply sound judgment, and work under pressure in adversarial situations

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

*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 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 $123,500 - $136,000 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. #LI-HYBRID #Hiring