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Case Assessment Analyst (12 month contract)

Canadian Investment Regulatory Organization
Montréal, CAN
Full Time, Contract
Mid
Hybrid
CAD 47000-54000 yearly / year
Discovered 1 months ago
Power BIComSet

Full Job Posting

Core Responsibilities

  • Review submissions made by Dealer Members in the Complaints and Settlement Reporting System (ComSet) daily
  • Utilizing established criteria, identify matters with regulatory issues that require further review, escalation and a case to be opened
  • Prepare reports of ComSet filings for a supervisory review, and address queries and issues identified by the broader team as part of this review
  • Support Dealer Member firms with any filing errors or missing information
  • Collaborate with internal departments to resolve issues and record the resolutions
  • Monitor and respond to emails received via the ComSet help mailbox or directly from Dealer Member firms
  • Monitor the status of ComSet filings and follow-up with Dealer Member firms on aging cases
  • Ensure that the ComSet help guide for dealers is updated and maintained
  • Provide statistical reporting and submission analytics
  • Provide support and participate in team projects
  • Contribute to CIRO’s efforts to provide firm, fair and effective Enforcement to protect investors, enhance industry standards and strengthen market integrity

Must-haves

  • Broad knowledge and understanding of the Canadian securities industry
  • Financial industry experience
  • Strong written and verbal communications skills
  • An understanding of CIRO’s IDPC and MFD rules and related policies, relevant securities legislation, policies and instruments, particularly around reporting requirements
  • Demonstrated ability to work proactively and independently to prioritize, multi-task and complete tasks within established timelines
  • Good file management and organizational skills
  • Proficiency with a variety of computer software applications including Excel, Word and Power BI

Nice to Haves

Canadian Securities Course (CSC), Chief Compliance Officers Qualifying Examination (CCO), and Branch Managers’ Examination (BME) Course are considered assets

Experience with ComSet

Strong research, analytical and problem-solving skills

Knowledge and understanding of various securities products

Good customer service skills

Effective networking and relationship-building skills

Effective interpersonal skills

What we offer

  • Competitive base salary in alignment with market
  • Performance based bonus *
  • Hybrid work environment
  • Employer paid Health Benefits and Spending Account that offer flexibility to meet your individual or family needs as of day one
  • Defined Contribution Pension Plan with company matching that starts on your first day of employment *
  • Paid flex days and sick days *
  • Vacation days
  • Maternity Leave Of Absence/Paternity Leave Of Absence top up *
  • Paid continuous learning and continuing development including designations
  • *Asterisked offerings are not applicable to contracts

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.

At CIRO, you’ll be part of an organization driven by Pride in Excellence , a strong Focus on Well ‑ being , and A Shared Purpose that connects our people to meaningful work. We’re committed to fostering an inclusive, supportive environment where you can grow and make an impact. Learn more about what it’s like to build your career at CIRO by exploring our Careers page: https://www.ciro.ca/about-ciro/careers

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.

We are committed to creating an inclusive and barrier-free recruitment and selection process across Canada. We welcome applications from all qualified individuals and are dedicated to providing accommodations upon request for candidates participating in all aspects of the recruitment process, in accordance with applicable human rights and accessibility legislation.

Our Recruitment Process

This posting reflects an active vacancy on our team

We use automated (AI) tools to assist with candidate sourcing and communications. Applications are reviewed by our hiring team and hiring decisions are made by people.

This role has a hiring range of $47,000 - $54,000 with the placement and offered salary being based on knowledge, skills, education/training and experience, as well as external market conditions and internal equity.

While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted. #LI-HYBRID #Hiring

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