Senior Investigator

Senior Investigator
Enforcement Branch
Permanent, Full-time
File #23-08

Who We Are

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, adjudication and enforcement work. The OSC also contributes to national and global securities regulation development.

We offer an inclusive, diverse, fair and flexible work environment and take pride in our challenging and rewarding work.

What We Do

The Enforcement Branch supports the OSC in delivering fair, vigorous, and timely enforcement. The Enforcement Branch investigates and litigates breaches of securities laws in Ontario. Staff works closely with other securities regulators, self-regulatory organizations, and law-enforcement agencies to enhance initiatives to fight misconduct. A strong enforcement presence assists in protecting investors from unfair, improper, or fraudulent practices and fostering fair and efficient markets.

The Enforcement Branch is hiring a Senior Investigator(Full Time Permanent) with extensive investigation experience, including in the prosecution of criminal and quasi-criminal activity so to focus on fraudulent and recidivist behaviour that harms retail investors and taking more Enforcement cases before the courts where jail terms can be ordered against offenders.

What’s in it for you?

• Be an integral part of a leading-edge team leveraging an innovative mix of traditional investigative techniques, data analytics, and open-source intelligence analysis to investigate and prosecute complex cases of Securities Act violations.
• Work in a collaborative, progressive, and professionally diverse team.
• Make a difference and have a meaningful impact on investors and participants in Ontario’s capital markets.

What will you do?

Reporting to the Manager and working closely with the Case Leads, the Senior Investigator responsible for identifying and investigating misconduct in Ontario’s capital markets through the implementation of technology solutions focused on data analytics to assist and produce substantive enforcement cases, covering the entire life of a file, from assessment to litigation into allegations of securities law violations, which includes both for criminal and quasi-criminal prosecutions. This position will draw on your broad knowledge of capital markets and your in-depth experience relating to reviewing and analyzing a range of data a part of investigations.

This is an incredibly exciting role for a seasoned white collar crime investigator with significant experience leading complex fraud or similar investigations, seeking further challenges that will allow them to leverage their skills while contributing to the OSC’s mandate of investor protection.

Working collaboratively in a multi-disciplinary team, the key skills and responsibilities of this role include, but are not limited to:

• Supports investigation case file activities, sharing insights and expertise, leading investigations and witness examinations, identifying strategies to resolve investigative bottlenecks and facilitate relevant data, files and trading information retrieval.
• Drafting information to obtain (ITOs) for search warrants under the Securities Act (Ontario) and the Criminal Code as well as for production orders under the Criminal Code
• Manage large volumes of documents and data, and conduct premises checks and offsite interviews. Use your knowledge of open-source intelligence gathering and work with OSINT specialists.
• Prepare effective case planning, create evidence schedules, conduct pattern analysis, cross-reference tools to assess the validity and relevance of evidence as it is collected.
• Using your training in analytical and investigative techniques and procedures to prepare recommendation memos/reports (which can include schedules of evidence, charts, graphs, visual presentations, witness testimony synopsis), and conduct informal and informal compelled interviews.
• Provides support to case prosecution/legal actions, preparing and presenting market data analyses, interpretations and reports and acting as a witness as required.
• 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, conceptualizing, designing and developing applications, and developing algorithms to source, access and track/data/information and evaluate trends and patterns.
• As a senior investigator you will coach and mentor more junior investigative staff on the team and work collaboratively with all members of JSOT and the other members Enforcement Branch as required.

What do you need to be successful in this role?

This is a senior staff level role and will require at least 10 years of experience conducting and leading investigations specializing in financial investigations, fraud investigations, money laundering, proceeds of crime, and/or computer evidence analysis, preferably gained in the financial sector, law enforcement or related industry. Other requirements include:

• Completion of an undergraduate degree in Business, Finance, Accounting, Criminology, Computer Science, or other STEM (Science, Technology, Engineering or Math) degree.
• 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.
• Completion of the Canadian Securities Course and/or other related industry courses (i.e., Traders Training Course and Derivatives Fundamentals Course)
• Solid understanding of the Securities Act (Ontario) Ontario securities law violations, Commodity Futures Act, the Criminal Code, and OSC and Enforcement priorities required.
• General knowledge of the Canadian Charter of Rights and Freedoms, Freedom of Information Act, Privacy Act, Provincial Offences Act, Business Corporation Act, Bankruptcy Act, Canada and Ontario Evidence Act, Statutory Powers and Procedures Act would be an asset.
• Advanced skills in investigations, including evidence collection practices and procedures coupled with your solutions-based approach to solving problems including experience in using data analytics in your previous investigations.
• Hands on experience with coding or developing algorithms to source, access and track/data/information and evaluate trends and patterns will be considered an asset.
• Strong understanding of emerging crypto currencies, crypto assets, crypto platforms, and current social media.
• Strong project management and problem-solving skills with the ability to demonstrate professional skepticism, resourcefulness, and good business judgment.
• Demonstrate good business judgement and your ability to write in a clear, persuasive manner and demonstrate strategic vision in how the investigation will unfold will be integral to your success in the role.
• Excellent interpersonal 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.

Apply online by May 15, 2023 at 11:59 pm

**Internal applicants: please apply using the Taleo profile created with your OSC email address**

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 Ontario 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 LGBTQ2S community, to achieve an employee demographic profile reflective of the demographic profile of Ontarians.

The OSC is a proud partner with the following organizations:BlackNorth Initiative,Canadian Centre for Diversity and Inclusion, andPride at Work Canada

If you require an accommodation during the recruitment process, please let us know by contacting our confidential inboxHRRecruitment@osc.gov.on.ca.

VisitAccessibility at the OSCto review the OSC’s policies on accessibility and accommodation in the workplace.