The Mutual Fund Dealers Association of Canada is the self-regulatory organization for mutual fund dealers in Canada. The MFDA is committed to protecting the investing public by delivering responsible and effective regulation, strengthening collaboration, knowledge and expertise; and promoting investor confidence.
As an Investigator, you will be responsible for conducting investigations of complaints and other enforcement matters against member firms and their approved persons. You will also be responsible for interpreting evidence collected to make recommendations for action and/or resolution. The Investigator reports to a Manager of Investigations.
Your job duties as Investigator would include:
• Conducting extensive interviews of Member firm personnel, complainants and other persons having relevant knowledge of the matters under investigation
• Travelling within Canada, where necessary, to conduct interviews and obtain evidence
• Reviewing, analysing and evaluating oral and documentary evidence obtained in the course of the investigation
• Interpreting provincial legislation, By-laws, rules, regulations and policies and determining which, if any, have been violated, with the assistance of Enforcement Counsel where required
• Preparing reports recommending courses of action based on the evidence gathered
• Assist Enforcement Counsel in matters relating to the discipline process, including:
• Aid in preparing Notices of Hearing and Settlement Agreements
• Aid in preparing for disciplinary hearings, including preparation of documentary evidence, additional data analysis, preparation of presentation materials, and assisting with witness preparation
• Giving evidence in disciplinary hearings
The ideal candidate would possess:
• Strong knowledge and understanding of the mutual fund industry, operations, products, and provincial legislation and rules and regulations including those of the MFDA
• Fluency in French is an asset
• Highly developed investigative and interviewing skills
• Superior organizational and planning skills
• Ability to multi- task
• Excellent interpersonal skills
• A University degree in Accounting, Business or law or equivalent work experience
• Canadian Securities Course and the Conduct Practices Handbook course (within six months of hiring)
• The ability to travel as necessary
All applications will be treated on a confidential basis.
Reasonable Accommodations will be made to those qualified candidates with disabilities upon request.
We thank all applicants; however only those candidates selected for interviews will be contacted.
Please apply using the Apply button.