Position Title: Senior Director, Case Assessment, Complaints & InquiriesDepartment: EnforcementLocation: Toronto, Calgary, Vancouver, MontrealEmployment Type: RegularWorking Arrangement: Full-time, HybridAbout UsAs 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.About This OpportunityThe Senior Director, Case Assessment, Complaints and Inquiries is a critical leadership role within CIRO's complaint intake and Enforcement functions. The Senior Director is responsible for the management and oversight of all complaints and inquiries received by CIRO from the investing public, ensuring consistent responses and promotion of appropriate cases. These complaints and inquiries, which are primarily handled by a team of senior complaints and inquiries specialists across the country, may relate to CIRO Investment Dealer and Partially Consolidated (IDPC) Rules, Mutual Fund Dealer (MFD) Rules and/or the Universal Market Integrity Rules (UMIR), CIRO's internal policies and procedures, the investment industry generally, investor complaint handling by CIRO dealers, compensation options for investors who suffer losses, or any other topic. The Senior Director tracks and analyzes the volume and nature of incoming complaints and inquiries to detect trends and high priority matters, provides statistical reporting on these matters both internally and externally, and develops strategic responses to promote CIRO's investor protection mandate. The Senior Director is also responsible for the management and oversight of CIRO's case assessment group involving the review and assessment of potential violations of CIRO Dealer Member Rules by CIRO dealer members and their representatives. The Senior Director, with the assistance of a team of case assessment managers, will oversee the conduct of all case assessments across the country to ensure a consistent and coordinated approach. As part of CIRO's case assessment function, the Senior Director is responsible for all reviews of ComSet events filed by CIRO dealer members. The Senior Director ensures that all case assessments are carried out competently and on a timely basis. The Senior Director will also work closely with the Directors of Enforcement Litigation and Investigations to ensure the Enforcement Department operates efficiently and effectively.Core ResponsibilitiesOperational Leadership and OversightDirect, advise, and oversee all complaint, inquiry and case assessment activitiesResponsible for decisions related to the Case Assessment and Complaints & Inquiry (C&I) groupsEnsure teams are providing consistent, effective and efficient review of complaints, inquiries and case assessmentsActively participate in the overall management of the Enforcement and C&I Departments and provide strategic and operational supportResolve complex, ambiguous issues such as complaints that have escalated beyond the responsible managerOversee intake,



assessment and recommendations for action based upon Whistleblower reportsMonitor department activity for trends and urgent issuesPeople Leadership and Team DevelopmentEnsure the C&I and Case Assessment groups have the tools, training and resources necessary to execute their responsibilitiesProvide leadership to the team of C&I Specialists and Manager, Case Assessment Managers, Case Assessment Officers, Case Assessment Analysts, and support staffStrategic Direction and Policy DevelopmentAct as strategic advisor to the Vice President, Complaint Intake and OperationsSet direction in key business areas, and develop relevant policy/strategic initiatives that will enhance the overall efficacy of complaint, inquiry and case assessment handlingAct on behalf of the VP and SVP as requiredCross Functional and External CollaborationRepresent the department to external stakeholders including the provincial securities commissionsCollaborate with the Corporate Communications & Public Affairs and Office of the Investor departments to ensure consistent public messagingRegularly collaborate with the Directors, Investigations to ensure promotion of appropriate case assessment mattersWork closely with other CIRO departments to inform, assist or collaborateReporting and ComplianceCreate and produce various statistical reports for the C&I Department to a variety of internal and external sourcesAssist with the Enforcement Department's regular reporting requirements to the CSA, CIRO board or senior managementEducation And ExperienceUniversity degree and/or professional designation in finance, business administration, accounting or law and/or equivalent work experienceAt least ten years' experience in capital markets regulationAt least five years of managing people leadersRelevant industry coursesDemonstrated experience managing change in an increasingly fast-paced and changing environmentWhat You BringBroad and comprehensive expertise in leading-edge theories, techniques and/or business practices within the conduct of case assessments in the criminal or regulatory contextAdvanced knowledge of the capital markets and securities industry, including dealer operations, retail sales, trading, complaint handling and complianceSolid knowledge of the securities regulatory framework including securities legislation, and in particular CIRO Dealer Member Rules and UMIRUnderstanding of the direction taken by the organization on issues pertinent to the area of responsibilitySound business judgmentSolid knowledge of the operation of other CIRO departmentsStrong ability to build relationships and work closely with internal and external stakeholders at all levelsStrong problem-solving and critical-thinking skills to comprehend complex issuesWorking knowledge and application of dispute resolution methodsTeam player with excellent leadership skillsExcellent communication,



presentation and writing skillsDemonstrated initiative and dependabilityExcellent organizational skillsBilingual (French/English) is an assetWhat we offerCompetitive total rewards program including performance-based bonus *Hybrid work environmentEmployer 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 wellness days*Maternity and Parental Leave top up *Paid continuous learning and continuing development including designations**Asterisked offerings are not applicable to contractsWhy the Canadian Investment Regulatory Organization (CIRO)Culture and Working EnvironmentLife 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 workplace 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.Our CommitmentCIRO 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.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 needed. 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.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 ProcessThis posting reflects an active vacancy on our teamWe 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 $178,500 - $220,500 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. #hiring#J-18808-Ljbffr

📌 Senior Director, Case Assessment, Complaints & Inquiries - C$178,500 - C$220,500 A Year (Calgary)
🏢 Canadian Investment Regulatory Organization
📍 Calgary