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Investigator Jobs
Company | CIRO / OCRI |
Address | Toronto, Ontario, Canada |
Employment type | FULL_TIME |
Salary | |
Category | Financial Services |
Expires | 2023-08-11 |
Posted at | 10 months ago |
Position Title: Investigator
- Assist Enforcement Counsel in matters relating to the discipline process, including:
- Giving evidence in disciplinary hearings
- Conducting extensive interviews of Member firm personnel, complainants and other persons having relevant knowledge of the matters under investigation
- Aid in preparing for disciplinary hearings, including preparation of documentary evidence, additional data analysis, preparation of presentation materials, and assisting with witness preparation
- Aid in preparing Notices of Hearing and Settlement Agreements
- Reviewing, analysing and evaluating oral and documentary evidence obtained in the course of the investigatio
- Interpreting provincial legislation, By-laws, rules, regulations and policies and determining which, if any, have been violated, with the assistance of Enforcement Counsel where required
- Preparing reports recommending courses of action based on the evidence gathered
- Must complete the CSI Canadian Securities Course and either of the Branch Managers Course or the Chief Compliance Officers Qualifying Exam within two years of hiring.
- The ability to travel as necessary
- A University degree in Accounting, Business or law or equivalent work experience
- Superior organizational and planning skills
- Excellent interpersonal skills
- Strong knowledge and understanding of the mutual fund industry, operations, products, provincial legislation, rules and regulations
- The ability to travel as necessary
- Ability to multi- task
- Highly developed investigative and interviewing skills
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