Senior Investigator, Team Lead

Job title: Senior Investigator, Team Lead

Job description: Reporting to the Director, Core Regulatory Functions, our Senior Investigator analyzes and documents investigation files, in particular in response to complaints received from approved participants, clients and market operations personnel or referred by the Coordination Committee of the Regulatory Division (the “Division”). To formulate findings, our Senior Investigator gathers evidence including conducting interviews. They also use quantitative analysis methods and statistics to interpret large amounts of data. The Investigator will need to employ analytical rigour to sift through the data and find opportunities for improvements, in terms of developing tools, identifying trading practices and using electronic evidence. The Team Lead supports the Director, formulates suggestions when necessary in terms of resources, action plans, and priorities.

Key Accountabilities:

As a Team Leader in our Investigation Service you will be responsible for:

Opens investigation files and assigning them, taking into account the resources and workload of investigators;

Coordinates the operational activities related to investigations to ensure the timely completion of investigation files;

Supports the investigators by providing guidance specific to each investigation file, by advising them on the level of priority management, by accompanying them in their respective interrogations, and by reviewing communications, interrogation plans, and investigation reports;

Supports the Director, formulates suggestions when necessary in terms of resources, action plans, and priorities;

Acts as a coordinator by liaising between the Investigations team and the Enforcement and Market Regulation team within the Division;

Maintain a register of all investigation files, and act as a resource person with regulatory authorities such as the Autorité des marchés financiers and the Investment Industry Regulatory Organization of Canada, for investigation files;

Monitors applicable laws and regulations and ensure the implementation and compliance with investigation and evidence collection methods;

Improve and enhance internal processes by standardizing interviews, report writing and evidence retention practices;

Formulates suggestions and express opinions, both at the level of investigative strategies and at the operational level, to the Director, Core Regulatory Functions and other working groups;

Participates in various projects and internal committees aimed at analyzing operational and regulatory issues that may lead to regulatory amendment projects or other initiatives;

Participates in the hiring process for any investigator role and provide training as necessary to any newcomers to the Division;

Liaises with other team leads in the Core Regulatory Functions services, as well as with any staff from the Division.

As a Senior Investigator you will be responsible for:

Conducts investigations of a generally complex nature (including allegations of market manipulation) assigned to him or her in response to complaints received from approved participants, clients, the MOD or by referral, in particular from the Division’s Coordinating Committee.

Collects the required data and information through inquiries and/or interviews, and reviews and analyzes the evidence gathered to formulate conclusions.

Safeguards evidence gathered in the course of an investigation.

Takes part in reviews of files and reports prepared by other investigators in the Division.

Contributes at various stages of disciplinary file procedures.

Acts as a resource person to other investigators in any investigation.

Acts as a resource person for the regulatory authorities on disciplinary files and follows up with the regulatory authorities on any case referred to the latter.

Collaborates on any project related to investigations.

Supports Enforcement and Market Regulation in the preparation of disciplinary complaint files, the negotiation of settlements and the preparation of hearings before a disciplinary committee of the Montreal Exchange.

Develops investigation plans and prepares complete investigation reports, including findings based on the facts and the evidence collected.

Testifies, if necessary, before the Montreal Exchange’s Disciplinary Committee or any other authority.

Keeps the updated record of all investigation files, taking into account priority levels and applicable performance benchmarks.

Follows the procedures and processes applicable to investigations and takes part in their potential improvement.

As required, participates in regulatory amendment proposals initiated by the Division, mainly by carrying out analyses.

Carries out all other related duties assigned by the immediate supervisor.

Skills and Experience:

Seven (7) to ten (10) years’ experience in investigations in the securities industry and, more specifically, in the field of derivatives compliance and/or trading, or with a member of a regulatory or self-regulatory organization (SRO) as investigator or inspector of this organization

University degree in law, finance, business administration, economics, mathematics, computer science or any other discipline related to experimental quantitative analysis

Knowledge of the applicable legal framework and rules of evidence

Excellent ability to communicate in both English and French

Skills in formulating findings and recommending follow-up actions

Good judgment

Organizational skills and priority management

Attention to detail

Ability to write documents that are simple, clear, concise and logical

Tact and diplomacy

Discretion

Autonomy

Team spirit.

Nice to Have:

CFA or other professional designation

Experience analyzing statistical data

Knowledge of and experience with market oversight systems

Experience in machine learning using large data sets.

Le Groupe TMX s’est engagé à créer et à maintenir un milieu de travail empreint de collaboration au sein duquel chacun est traité avec dignité et respect, et qui reflète la diversité de la collectivité où nous exerçons nos activités. Nous mettons en place des mesures d’adaptation pour les candidats et les employés qui en ont besoin.

Company: TMX Group

Expected salary:

Location: Montreal, QC

Job date: Wed, 19 Jan 2022 03:44:59 GMT

Job Source: Careerjet.ca

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