Job Description

Position Title: Senior Complaints & Inquiries Specialist

Department: Complaints & Inquiries

Location: Calgary, Montreal, Toronto or Vancouver

Status: Permanent Full-Time (Hybrid)

Day in the life of:

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.

The Senior Complaints & Inquiries Specialist (SCIS) is in the unique position of having the opportunity to 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. The SCIS must effectively convey CIRO’s mandate of investor protection through their communications with the public. The SCIS will provide consistent and accurate information about CIRO’s role (and that of other industry players), the complaint process and the complainant’s options regarding compensation, if applicable. The role is very research intensive as the department receives an extensive variety of inquiries and complaints involving trading on Canadian markets, CIRO’s role, investment and trading rules, the activity of our dealers and more.

The SCIS routinely communicates with other CIRO departments in researching inquiries or complaints and must often provide written responses to investors explaining complex or contentious matters in plain language. In appropriate cases, the SCIS 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.

The SCIS 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 the SCIS has thoroughly explained CIRO’s role, the complaint process and compensation options and this information is understood by the complainant.

The SCIS 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 (and that of other industry players), the complaint process and options regarding compensation, where applicable, to complainants to help manage complainant expectations
• Collect and analyze information from the investor and provide responses that are timely, accurate and 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 our 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 a strong ability to show empathy
• Outstanding written and verbal communications 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 a member 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

What we offer:

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.

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.

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

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