Contribute to investment integrity as a Case Assessment Officer in a hybrid role. Assess regulatory complaints and propose solutions to enhance capital market trust.
In this critical role within the Enforcement Department, you will engage in preliminary investigations of regulatory complaints from investors and oversee the analysis of these complaints. Your recommendations will guide actions related to dealer conduct. This role requires effective communication and analytical skills to ensure thorough assessments.
Key Responsibilities:
• Perform analysis of financial documents for reports
• Recommend appropriate actions based on investigations
• Maintain extensive records of complaints and assessments
• Prepare letters to stakeholders regarding case outcomes
• Conduct reviews of submissions and summarize findings
Requirements:
• University degree, preferably in finance or economics
• Completion of Canadian Securities Course is required
• Minimum 2-3 year...