Director, Regulatory Investigations – Inquiries

Role Overview

• Oversee and manage a team of compliance professionals to ensure efficiency, quality and effectiveness of internal investigations and timely response to regulatory investigations and inquiries
• Investigate or support the investigation of internal conduct matters
• Document investigative analysis and findings clearly and concisely and, if applicable, reporting through the CIRO Complaints and Settlement Reporting System (ComSet)
• Oversee tracking of ongoing investigations, ensuring timely resolution and proper documentation
• Provide direction on timely responses to regulatory investigations and inquiries to ensure accurate and reliable responses
• Develop and maintain an effective and comprehensive tracking and reporting for all files, issues and trends arising from internal and external investigations and inquiries
• Work closely with the Senior Director, Regulatory Investigations and escalate significant matters
• Actively participate in identifying and implementing policy and procedure changes required to comply with applicable regulatory change
• Lead the continuous enhancement of policies and procedures for regulatory investigations and inquiries

Requirements

• People manager and/or leadership experience
• Knowledge of the Securities industry and compliance practices relating to regulatory investigations and inquiries
• Ability to identify, understand and advise on complex regulatory matters
• Strong leadership skills and ability to network and cultivate cross-enterprise partnerships with key stakeholders (Compliance, Law, CIS/GSIU) and Business units
• Excellent written and oral communication skills
• Excellent interpersonal skills with strong client centric approach
• Proven analytical skills
• Detailed oriented
• High level of initiative, motivation and continuous improvement mindset
• Proven ability to multi-task in a demanding environment
• Broad knowledge of various securities registrants (i.e. mutual fund dealer, investment dealer, capital markets)
• Proven experience with regulatory authorities
• Law degree
• Canadian Securities Course
• Knowledge of the upcoming CIRO consolidated rules and impact to the area of coverage.

Benefits

• A comprehensive Total Rewards Program including bonuses and flexible benefits
• Competitive compensation
• Commissions and stock where applicable
• Leaders who support your development through coaching and managing opportunities
• A world-class training program in financial services
• Opportunities to do challenging work