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.
The Investigative Trading Analyst will conduct objective, timely and effective post-trade reviews and preliminary investigations of possible violations of UMIR and Canadian Securities laws.
Core Responsibilities
- Conduct post‑trade reviews and preliminary investigations into alleged UMIR or Canadian Securities law violations in a timely manner, compiling relevant evidence from various sources and conducting trading analysis.
- Prepare clearly written and concise preliminary investigation reports which incorporate all relevant information and documentation to support conclusions.
- Participate in special projects such as regulatory reviews and initiative committees; engage in professional development in relevant areas of the securities industry.
- Develop and maintain cooperative relationships with other regulatory and investigative departments.
Key Skills and Competencies
Must‑haves
- Post‑secondary education.
- Canadian Securities Course.
- Trader Training Course, Conduct and Practices Handbook Course and additional Canadian Securities Institute Courses (assets).
Nice to Haves
- Minimum 2–4 years’ experience in the securities industry, preferably in a Compliance/Research/Analyst role.
- Knowledge of securities regulations (UMIR,
provincial securities legislation), trading systems and trading practices.
- Knowledge of Canadian market structure.
- Excellent organizational and analytical skills.
- Excellent interpersonal skills.
- Solid problem‑solving skills and attention to detail.
- Excellent report writing skills, ability to write clearly and effectively.
- Thorough knowledge of Microsoft Office programs.
- Advanced Excel skills.
- Investigative experience (Trade reviews, client complaints, research analysis) would be an asset.
What we offer
- Competitive base salary in alignment with market
- Performance based bonus
- Hybrid work environment
- Employer paid Health Benefits and Spending Account
- Defined Contribution Pension Plan with company matching
- Paid flex days and sick days
- Maternity Leave of Absence / Paternity Leave of Absence top up
- Paid continuous learning and continuing development including designations
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 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.