Case Assessment Analyst

Job Description

<p><p>Join to apply for the <b>Case Assessment Analyst</b> role at <b>CIRO / OCRI</b>.</p><p>Location: <b>Calgary, Montreal, Toronto, Vancouver</b></p><p>Status: <b>Permanent Full-time (Hybrid)</b></p><p>Salary Range: <b>$50,004-$61,116</b></p><h3>Day in the Life of a Case Assessment Analyst</h3><p>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. As a member of the Enforcement department, the Case Assessment Analyst leverages established guidelines to screen and analyze matters reported by Dealer Member firms, escalating those requiring further review to Case Assessment Officers and preparing and providing statistical reporting.</p><h3>Core Responsibilities</h3><ul><li>Review submissions made by Dealer Members in the Complaints and Settlement Reporting System (ComSet) daily.</li><li>Utilize established criteria, identify matters with regulatory issues that require further review, escalation, and a case to be opened.</li><li>Prepare reports of ComSet filings for a supervisory review, and address queries and issues identified by the broader team as part of this review.</li><li>Support Dealer Member firms with any filing errors or missing information.</li><li>Collaborate with internal departments to resolve issues and record the resolutions.</li><li>Monitor and respond to emails received via the ComSet help mailbox or directly from Dealer Member firms.</li><li>Monitor the status of ComSet filings and follow up with Dealer Member firms on aging cases.</li><li>Ensure that the ComSet help guide for dealers is updated and maintained.</li><li>Provide statistical reporting and submission analytics.</li><li>Provide support and participate in team projects.</li><li>Contribute to CIRO’s efforts to provide firm, fair and effective Enforcement to protect investors, enhance industry standards and strengthen market integrity.</li></ul><h3>Key Skills and Competencies</h3><h3>Must‑haves</h3><ul><li>Broad knowledge and understanding of the Canadian securities industry.</li><li>Financial industry experience.</li><li>Strong written and verbal communications skills.</li><li>Understanding of CIRO’s IDPC and MFD rules and related policies, relevant securities legislation, policies and instruments, particularly around reporting requirements.</li><li>Demonstrated ability to work proactively and independently to prioritize, multi‑task and complete tasks within established timelines.</li><li>Good file management and organizational skills.</li><li>Proficiency with a variety of computer software applications including Excel, Word and Power BI.</li><li>Bilingual (English/French).</li></ul><h3>Nice to Haves</h3><ul><li>Canadian Securities Course (CSC), Chief Compliance Officers Qualifying Examination (CCO), and Branch Managers’ Examination (BME) Course are considered assets.</li><li>Experience with ComSet.</li><li>Strong research, analytical and problem‑solving skills.</li><li>Knowledge and understanding of various securities products.</li><li>Good customer service skills.</li><li>Effective networking and relationship‑building skills.</li><li>Effective interpersonal skills.</li></ul><h3>What We Offer</h3><ul><li>Competitive base salary in alignment with market.</li><li>Performance‑based bonus.</li><li>Hybrid work environment.</li><li>Employer‑paid Health Benefits and Spending Account that offer flexibility to meet your individual or family needs as of day one.</li><li>Defined Contribution Pension Plan with company matching that starts on your first day of employment.</li><li>Paid flex days and sick days.</li><li>Vacation days.</li><li>Maternity Leave Of Absence / Paternity Leave Of Absence top up.</li><li>Paid continuous learning and continuing development including designations.</li></ul><h3>Our Commitment</h3><p>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.</p><p>CIRO is a pan‑Canadian organization that oversees all investment dealers and trading activity in marketplaces across Canada. This position requires the ability to communicate with employees in CIRO regional offices and other CIRO stakeholders across Canada. Accordingly, proficiency in both official languages of Canada (French and English) is mandatory. Due to the frequent interactions with internal and external English‑speaking members, clients, representatives, firms, Canadian provincial and territorial securities regulators, and employees situated outside of Quebec, the position requires a fully bilingual candidate.</p><p>While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted.</p></p>
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