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Senior Investigative Trading Analyst
Canadian Investment Regulatory Organization
Opportunity Description
Description 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.
The Senior Investigative Trading Analyst conducts preliminary investigations of possible violations of UMIR and Canadian securities laws.
Core Responsibilities
Conduct preliminary assessments and investigations, identifying/confirming UMIR or Canadian securities law violations
Write clear and concise preliminary investigation reports, and develop conclusions based on analysis
Review complaints and determine whether further review is warranted
Coaching & overseeing work of assigned Investigative Trading Analysts
Support the development of new monitoring tools and systems
Participate in special projects, such as regulatory reviews and initiative committees
The Senior Investigative Trading Analyst conducts preliminary investigations of possible violations of UMIR and Canadian securities laws.
Core Responsibilities
Conduct preliminary assessments and investigations, identifying/confirming UMIR or Canadian securities law violations
Write clear and concise preliminary investigation reports, and develop conclusions based on analysis
Review complaints and determine whether further review is warranted
Coaching & overseeing work of assigned Investigative Trading Analysts
Support the development of new monitoring tools and systems
Participate in special projects, such as regulatory reviews and initiative committees
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