Senior Investigator, Analytics and Capital Markets Specialist

Full Time
  • Full Time
  • Toronto

Ontario Securities Commission

The Ontario Securities Commission

The Ontario Securities Commission (OSC) is the statutory body responsible for regulating Ontario’s capital markets in accordance with the mandate established in the provincial Securities Act and the Commodity Futures Act (the Acts). The Commission’s mandate is to provide protection to investors from unfair, improper or fraudulent practices, to foster fair and efficient capital markets and confidence in capital markets, and to contribute to the stability of the financial system and the reduction of systemic risk.

We offer a diverse, fair, and flexible work environment and take pride in our challenging and rewarding work.

The Enforcement Branch supports the OSC in delivering fair, vigorous and timely enforcement. The Enforcement Branch investigates and litigates breaches of capital markets laws in Ontario. Staff works closely with other securities regulators, self-regulatory organizations and law-enforcement agencies to enhance initiatives to fight misconduct. A strong enforcement presence assists in protecting investors from unfair, improper or fraudulent practices and fostering fair and efficient markets.

The Enforcement Branch is hiring a Senior Investigator, Analytics & Market Specialist to identify and investigate potential misconduct in Ontario’s capital markets and to make recommendations for appropriate regulatory action. Leveraging their prior investigative experience and in-depth knowledge of the securities market with a specialization in trade analysis, insider trading and market manipulation, the Senior Investigator will plan investigations, gather evidence and analyze gathered information to make recommendations on whether to move forward with litigation and participate in the litigation process when appropriate.

What’s in it for you?

  • Be an integral part of a leading-edge team leveraging an innovative mix of traditional investigative techniques, data analytics, and open source intelligence analysis to investigate and prosecute complex cases of violations under the Acts.
  • Work in a collaborative, progressive, and professionally diverse team.
  • Make a difference and have a meaningful impact on investors and participants in Ontario’s capital markets.

The Opportunity

Reporting to an Enforcement Manager, the Senior Investigator, Analytics and & Capital Market Specialist is responsible for identifying and investigating misconduct in Ontario’s capital markets through the creation and implementation of technology solutions focused on data analytics to assist and produce substantive enforcement cases.

Key Duties and Responsibilities

  • Leads investigative activities to identify and interpret potential misconduct in Ontario capital markets utilizing complex and innovative data analytics processes and methodologies to determine, capture and consolidate relevant information to support case file management, prosecution and litigation proceedings.
  • Provides advice and insight in the interpretation of analytical results and findings to support and inform investigative activities. Supports investigation case file activities, sharing insights and expertise, participating in investigative interviews to ensure focused and pertinent questions are asked, identifying strategies to clear roadblocks, resolve investigative bottlenecks and facilitate relevant data, files and trading information retrieval.
  • Provides support to case prosecution/legal actions, preparing and presenting data analyses, interpretations and reports and acting as an expert witness as required.
  • Identifies opportunities to improve and optimize data management, retrieval, analyses and reporting to support investigations and prosecution activities, developing and adapting innovative, analytical variables and tools, and ensuring data integrity standards are developed and effectively managed and maintained.
  • Develops and maintains market trading data/information databases, identifying and uploading appropriate and relevant information from regulator/financial data sources, ensuring data/information integrity and reliability, and managing the development of software solutions/algorithms to optimize data access, mining and extraction to support analyses and investigations.
  • Designs and implements appropriate data analytics/quantitative analyses approaches, tools and methodologies to gain insight into data and determine links and data relationships, conceptualizing, designing and developing applications, and developing algorithms to source, access and track/data/information and evaluate trends and patterns.
  • Manages relationships with internal/external stakeholders, to respond to investigative requests and opportunities, clarify and validate trading and securities data/pertinent business intelligence, and facilitate enforcement investigations.

– Builds collaborative relationships with Enforcement team members to facilitate the review and resolution of issues and concerns and ensure relevant analyses/findings provided continue to meet stakeholder requirements and support investigations.

– Maintains relationships with Tech/Data Analytics team members to share expertise, exchange ideas/best practices and develop system/technologies to support Enforcement investigation initiatives.

– Maintains relationships with industry colleagues and external technical service providers to remain current on technology best practices, new product offerings and emerging trends.

– Mentors and coaches other members of the Branch as required.

Ideal Qualifications

The background of a successful investigator continues to evolve: we are looking for someone who is committed to working to protect investors and foster confidence in our capital markets, and who is naturally curious. Experience with data analytics, open source intelligence gathering, and law enforcement or intelligence agency investigation techniques are assets. More particularly, we would prefer to see a candidate with:

Education and Designations

  • Completion of an undergraduate degree in Business, Finance, Accounting, Criminology, Computer Science or other STEM (Science, Technology, Engineering or Math) degree.
  • Completion of the Canadian Securities Course, Traders Training Course and Derivatives Fundamentals Course, and have a solid understanding of the Acts, Ontario capital markets law violations, OSC and Enforcement priorities.

Investigations Experience

  • Minimum of eight years of investigative experience specializing in capital markets investigations, fraud investigations, money laundering, proceeds of crime, and/or computer evidence collection and analysis.

Capital Markets Experience

  • Minimum of eight years of experience working at a securities dealer, exchange and/or regulator, with a focus on Canadian market structure, trading and market conduct, gaining deep insight into securities/market trading processes, derivatives, legal practices and terminology
  • Strong understanding of emerging crypto currencies, crypto assets, crypto platforms and current social media is an asset.

Analytics Experience

  • Ability to analyze financial market/trading data, including familiarity with financial data protocols.
  • Strong analytical skills with the ability to analyze large datasets including creating frameworks used by staff to visualize data, patterns and statistical relationships
  • Specialized knowledge of statistical software applications, advanced modeling techniques and data mining.
  • Knowledge or experience with outlier detection modeling, regression analytics and other predictive modeling is an asset.

Other Attributes

  • Strong project management and problem-solving skills with the ability to demonstrate professional skepticism, resourcefulness, and good business judgment.
  • Excellent communication skills with the ability to actively listen, probe, and interpret information and to present complex, technical information orally and in writing coherently, concisely and persuasively.

Grow your career and make a difference working at the OSC.

To explore this opportunity please apply via email as soon as possible to quoting project OSC-SI3.

Should you wish to speak to our Executive Recruiter please contact Jon Stungevicius at 416-214-9299 x1,

We thank all applicants for their interest in the Ontario Securities Commission. We will contact those selected for an interview.


To apply, please visit the following URL: