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About the Role

The Market Abuse Team is hiring a Senior Investigator to identify and investigate potential misconduct in Ontario’s capital markets and to make recommendations for appropriate regulatory action. Leveraging prior investigative experience and in-depth knowledge of the securities market with a specialization in trade analysis, insider trading and market manipulation, the Senior Investigator will plan investigations, gather evidence and analyze gathered information to make recommendations on whether to move forward with litigation and participate in the litigation process when appropriate.

Responsibilities

Develop investigation plans, lead investigations and witness examinations.
Collaborate on investigation case-file activities.
Share insights and expertise with the investigation team.
Identify strategies to facilitate relevant information retrieval.
Provide advice and insight on the interpretation of market conduct analytical results and findings to support and inform investigative activities.
Prepare evidence gathering summonses, directions and affidavits.
Gather, review and interpret large volumes of documents and trading data.
Partner with technical functional areas such as open-source intelligence specialists, data scientists and application developers to enhance investigative capabilities and insights.
Prepare recommendation memos/reports including timelines, schedules of evidence, charts, graphs, visual presentations, and witness testimony synopsis.
Provide support to case prosecution/legal actions.
Prepare and present data analysis, interpretations and reports.
Appear as a witness in hearings.
Participate in the development of policies, practices and projects for the Enforcement teams as needed.

Requirements

Commitment to working to protect investors and foster confidence in our capital markets.
Natural curiosity.
Experience with data analytics, OSINT gathering and law enforcement are assets.
Completion of an undergraduate degree in Business, Finance, Accounting, Criminology, Computer Science or other STEM (Science, Technology, Engineering or Math) degree.
Minimum of eight years of investigative experience specializing in capital markets investigations.
Law enforcement experience specializing in financial investigations, fraud investigations, money laundering, proceeds of crime, and/or computer evidence analysis.
Strong 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.
Strong project management and problem-solving skills.
Ability to demonstrate professional skepticism, resourcefulness, and good business judgment.
Excellent communication skills with the ability to actively listen, probe, and interpret information, including in examining witnesses.
Ability to present complex, technical information orally and in writing coherently, concisely and persuasively.
Excellent interpersonal skills.
Demonstrated collaborative and results-oriented style in working effectively both within a team structure and independently.
Ability to deliver on expectations in a dynamic environment.
Superior team-based skills necessary to collaborate, coach, mentor, inspire and demonstrate a service excellence mindset within the team and other OSC staff.
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.

Skills

Trade analysis
Insider trading
Market manipulation
Data analytics
Open-source intelligence analysis
Project management
Problem-solving
Professional skepticism
Resourcefulness
Business judgment
Active listening
Information interpretation
Witness examination
Oral presentation
Written presentation
Interpersonal skills
Collaboration
Results-oriented work style
Teamwork
Independent work
Coaching
Mentoring
Service excellence
Canadian Securities Course
Traders Training Course
Derivatives Fundamentals Course
Canadian market structure
Trading
Market conduct
Securities trading
Derivatives trading
Financial market trading data analysis
Data mining
Detection of manipulative trading activity
Detection of deceptive trading activity
Detection of insider trading activities

Location

Ontario

Work Type

Regular
Full time

Experience Level

Senior
Minimum of eight years of investigative experience

Education Level

Undergraduate degree in Business, Finance, Accounting, Criminology, Computer Science or other STEM (Science, Technology, Engineering or Math) degree.

About the Company

The Ontario Securities Commission (OSC) is the statutory body responsible for regulating Ontario’s capital markets in accordance with the mandate established in the provincial Securities Act and the Commodity Futures Act.
The mandate of the OSC is to provide protection to investors from unfair, improper or fraudulent practices, to foster fair, efficient and competitive capital markets and confidence in the capital markets, to foster capital formation, and to contribute to the stability of the financial system and the reduction of systemic risk.
This mandate is performed through policy, operational, and enforcement activities.
The OSC also contributes to national and global securities regulation development.
We offer a diverse, fair, and flexible work environment and take pride in our challenging and rewarding work.
The Enforcement Division of the Ontario Securities Commission investigates and litigates breaches of securities laws in Ontario.
Team members work closely with other securities regulators, self-regulatory organizations and law-enforcement agencies to enhance initiatives to fight misconduct.
A strong visible enforcement presence assists in protecting investors from unfair, improper or fraudulent practices, fosters fair, efficient and competitive capital markets, fosters capital formation, and contributes to the stability of the financial system and the reduction of systemic risk.
At the Ontario Securities Commission (OSC), we carry-out challenging and meaningful work within a collaborative culture to deliver strong investor protection and foster confidence in capital markets.
Evolving financial markets mean new ways of thinking, and every day is an opportunity to learn, innovate and grow professionally in a supportive, stimulating workplace.
The Ontario Securities Commission is an independent Crown agency that regulates Ontario’s capital markets by making rules that have the force of law and by adopting policies that influence the behaviour of capital markets participants.
The OSC carries out the powers, duties and functions given to it pursuant to the Securities Commission Act, 2021.
The OSC exercises its regulatory oversight function through the administration and enforcement of Ontario’s Securities Act and Commodity Futures Act and administration of certain provisions of Ontario’s Business Corporations Act.

Equal Opportunity

The OSC is committed to diversity and providing an inclusive workplace and providing accommodation in accordance with the Accessibility for Ontarians with Disabilities Act and the Human Rights Code.
It is our priority to ensure employment opportunities are visible and barrier-free to all under-represented groups including but not limited to, Indigenous, Black and racialized groups, people with disabilities, women and people from the 2SLGBTQI+ community, to achieve an employee demographic profile reflective of the demographic profile of Ontarians.
The OSC is a proud partner with the following organizations: Ascend Canada, BlackNorth Initiative, Canadian Centre for Diversity and Inclusion, and Pride at Work Canada.
If you require an accommodation during the recruitment process, please let us know by contacting our confidential inbox HRRecruitment@osc.gov.on.ca.
Visit Accessibility at the OSC to review the OSC’s policies on accessibility and accommodation in the workplace.