Ontario Securities Commission
Capital Markets
SeniorInvestigator
“Senior Investigator at Ontario Securities Commission. Skills: Investigative experience, Securities market knowledge, Trade analysis. Develop investigation plans. Lead investigations”
What You'll Achieve.
Protection to investors; Fostering fair, efficient and competitive capital markets; Fostering capital formation; Contributing to the stability of the financial system; Reduction of systemic risk; Identify and investigate potential misconduct; Make recommendations for appropriate regulatory action; Enhance initiatives to fight misconduct
Industry & Context.
Problem-solving skills; Resourcefulness
What They're Looking For.
Must Have
Minimum of eight years of investigative experience specializing in capital markets investigations, Completion of an undergraduate degree in Business, Finance, Accounting, Criminology, Computer Science or other STEM (Science, Technology, Engineering or Math) degree, Excellent communication skills, Excellent interpersonal skills
Nice to Have
Experience with data analytics, OSINT gathering, Law enforcement experience specializing in financial investigations, fraud investigations, money laundering, proceeds of crime, and/or computer evidence analysis, Understanding and knowledge of the capital markets industry, trading products, and role of participants as well as administrative and criminal justice systems, and securities legislation, Project management and problem-solving skills, Completion of the Canadian Securities Course, Traders Training Course and Derivatives Fundamentals Course, Solid understanding of the Acts, Ontario capital markets law violations, OSC and Enforcement priorities, Experience working at a securities dealer, exchange and/or regulator, with a focus on Canadian market structure, trading and market conduct, Experience analyzing financial market trading data with a focus on data mining to detect potential manipulative and deceptive methods of trading activity and insider trading activities
What You'll Do.
Develop investigation plans
Conduct witness examinations
Analyze gathered information
Prepare evidence gathering summonses
review and interpret documents
review and interpret trading data
Prepare recommendation memos/reports
Support case prosecution
Participate in policy development
How You'll Work.
Team & Collaboration
Collaborate on investigation case-file activities; Share insights and expertise with the investigation team; Partner with technical functional areas; Work closely with other securities regulators; Work closely with self-regulatory organizations; Work closely with law-enforcement agencies; Collaborate within a team structure; Collaborate with other OSC staff
Communication Scope
Actively listen; Probe information; Interpret information; Examine witnesses; Present complex information orally; Present complex information in writing
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