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 Oversight

Direct, advise, and oversee all complaint, inquiry and case assessment activities

Responsible for decisions related to the Case Assessment and Complaints & Inquiry (C&I;) groups

Ensure teams are providing consistent, effective and efficient review of complaints, inquiries and case assessments

Actively participate in the overall management of the Enforcement and C&I; Departments and provide strategic and operational support

Resolve complex,



ambiguous issues such as complaints that have escalated beyond the responsible manager

Oversee intake, assessment and recommendations for action based upon Whistleblower reports

Monitor department activity for trends and urgent issues

People Leadership and Team Development

Ensure the C&I; and Case Assessment groups have the tools, training and resources necessary to execute their responsibilities

Provide leadership to the team of C&I; Specialists and Manager, Case Assessment Managers, Case Assessment Officers, Case Assessment Analysts, and support staff

Strategic Direction and Policy Development

Act as strategic advisor to the Vice President, Complaint Intake and Operations

Set direction in key business areas, and develop relevant policy/strategic initiatives that will enhance the overall efficacy of complaint, inquiry and case assessment handling

Act on behalf of the VP and SVP as required

Cross Functional and External Collaboration

Represent the department to external stakeholders including the provincial securities commissions

Collaborate with the Corporate Communications & Public Affairs and Office of the Investor departments to ensure consistent public messaging

Regularly collaborate with the Directors, Investigations to ensure promotion of appropriate case assessment matters

Work closely with other CIRO departments to inform, assist or collaborate

Reporting and Compliance

Create and produce various statistical reports for the C&I; Department to a variety of internal and external sources

Assist with the Enforcement Department's regular reporting requirements to the CSA, CIRO board or senior management

Education And Experience

University degree and/or professional designation i

📌 Senior Director, Case Assessment, Complaints (Toronto)
🏢 Canadian Investment Regulatory Organization
📍 Toronto