Take action to safeguard capital markets with the Canadian Investment Regulatory Organization (CIRO) as a Regulatory Complaints Assessment Officer. This hybrid role is vital for investigating investor complaints. In the position of Regulatory Complaints Assessment Officer at CIRO, you will be tasked with preliminary investigations into complaints and regulatory matters reported through the ComSet database.
Your ability to analyze financial information and produce accurate reports will drive effective regulatory action and protect investors across Canada. Key Responsibilities:
- Analyze regulatory complaints and recommend actions
- Prepare concise and timely written assessments
- Keep detailed records of all case assessments
- Issue assessment outcomes to relevant stakeholders
- Summarize daily ComSet submissions thoroughly Requirements:
- Bachelor’s degree in finance or economics
- Completed Canadian Securities Course
- Minimum 2-3 years of relevant financial industry experience
- Familiarity with securities legislation and CIRO policies
- Solid problem-solving and communication abilities Utilize your analytical skills to ensure integrity within Canada’s investment landscape at CIRO.