Job Category: Individual Contributor

Requisition Number: SENIO002605

Job Type: Full-Time, Hybrid

Location: 40 Temperance Street, Suite 2600, Toronto, ON M5H0B4, CAN

Senior Investigative Trading Analyst (12 Month Contract)

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
- Assist the Manager in the assessment of recent cases,



and provide coverage in their absence

Key Skills and Competencies

Must-haves:

- Completion of the Canadian Securities Course, Trader Training Course, and Conduct and Practices Handbook examination
- Professional development in Economics or Commerce an asset

Nice to Haves:

- Bilingual in French and English, written and spoken
- Knowledge of investigative practices and methods, extensive knowledge of the securities industry, including securities regulations and regulatory framework, trading systems, and trading practices
- Excellent organizational and analytical skills
- Strong interpersonal, problem-solving, and writing skills
- Clear and effective writing style, with strong attention to detail
- Advanced Microsoft Excel skills an asset
- Extensive knowledge of Canadian equities and

📌 Senior Investigative Trading Analyst (Toronto)
🏢 CIRO / OCRI
📍 Toronto