Senior Investigator

The Ontario Securities Commission (OSC) is the statutory body responsible for regulating Ontarios 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 at 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.

If you are the type of person who:

• is passionate about making a difference and having a meaningful impact on investors and participants in Ontarios capital markets

• relishes the opportunity work on high profile and complex cases

• is keen to be part of a leading edge team leveraging an innovative mix of emerging and traditional best-practices

• enjoys being part of a dynamic and flexible work environment with a collaborative progressive and professionally diverse team.
  

We would love to hear from you!

The Enforcement Branch is looking for aSenior Investigatorto join theOffice of the Whistleblower Relationships and Emerging Issues Team (OWB-REI) to provide disruption field investigation work and develop partnerships with law enforcement representatives other regulators and build relationships with financial industry professionals. The OWB-REI consists of distinct functional groups including the Office of the Whistleblower and the Relationships & Emerging Issues Teams. The Relationships & Emerging Issues Teams protects investors by proactively collaborating with and leveraging partnerships to identify emerging areas of concern and disrupt the risk of securities related misconduct.

What will you do

• Lead disruption case files generated by the Team and other cases referred to the Team targeting suspected fraudulent activity illegal/unregistered trading practices and securities/regulatory compliance breaches

• Design and develop innovative and creative disruption strategies and practical plans of execution domestically and internationally

• Develop and foster relationships with local and international law enforcement agencies other regulators and financial industry related professionals and intermediaries to share intelligence identify emerging issues of concern design and execute disruption strategies collaboratively and advance file referrals

• Collaborate with police agencies and other regulators to disrupt fraudulent activities and contribute to related field investigations and disruptive offsite visits

• Actively seek information intelligence and evidence through tools available under the Securities Act (Ontario) to target and apply effective forms of disruption

• Manage large volumes of documents and data and conduct premises checks and offsite interviews. Leverage your knowledge of open source intelligence gathering and work with OSINT specialists

• Work with data scientists to implement appropriate data analytics/quantitative analyses approaches tools and methodologies to gain insight into data and determine links and data relationships and identify and evaluate trends and patterns

• Using your training in analytical and investigative techniques and procedures to prepare recommendation memos/reports on effective forms of disruption and developing strategic partnerships

• Provide support to case investigations prosecution/legal actions prepare and present data analyses interpretations and reports and appear as a witness in hearings and quasi-criminal proceedings

• Participate in the development of policies practices and projects for the Enforcement Branch as needed

• Engage in stakeholder outreach on behalf of the OSC to law enforcement investigators regulatory bodies and community groups about the role and mandate of the OSC

What do you need to be successful in this role

We are looking for someone who is mission-oriented committed to working to protect investors and foster confidence in our capital markets and who is naturally curious. Experience with law enforcement or intelligence agency investigation techniques data analytics or open source intelligence gathering are assets as is experience and knowledge of our capital markets. More particularly we would prefer to see a candidate with:

• Completion of an undergraduate degree in Business Finance Accounting Criminology International Relations Political Science or Computer Science

• Minimum of 8 to 10 years of experience in the areas of investigations including law enforcement experience specializing in financial investigations fraud investigations money laundering proceeds of crime computer evidence analysis or other types of complex investigations

• Experience with identifying developing and managing relationships with relevant internal and external stakeholders to advance team/program objectives including contributing to complex joint investigations or operations.

• Previous experience in an intelligence gathering role and/or formal training on intelligence extraction including interviewing techniques

• A basic understanding and knowledge of the capital markets industry trading products and role of participants as well as administrative and criminal justice systems and the ability to analyze and apply securities and/or other relevant legislation to cases.

• A demonstrated ability to learn new and/or technical subject matter on the job as well as a commitment to continuous learning

• Completion of the Canadian Securities Course and/or other related industry courses would be an asset

• Interest in and/or knowledge of emerging crypto currencies crypto assets crypto platforms and the role of social media in connection with investment products or other types of illicit misconduct is considered an asset

• Strong project management and problem-solving skills with the ability to demonstrate professional skepticism resourcefulness and good judgment

• Excellent communication skills with the ability to actively listen probe and interpret information and to present information orally and in writing coherently concisely and persuasively

• Excellent inter-personal skills and a demonstrated collaborative and results-oriented style in working effectively both within a team structure and independently while delivering 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

Grow your career and make a difference working at the OSC.

* OSC Employees: please apply in Workday using the Browse Jobs feature within your Jobs Hub *

We thank all applicants for their interest in the Ontario Securities Commission. We will contact those selected for an interview.

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 accommodationduringthe recruitment process please let us know by contacting our confidential inbox .

VisitAccessibility at the OSCto review the OSCs policies on accessibility and accommodation in the workplace.