Paralegal

at  CIRO OCRI

SKILLS AND COMPETENCIES:

• Undergraduate degree
• The following courses are required: Canadian Securities Course, and Examination based on the Conduct and Practices Handbook for Securities Industry Professionals
• The following courses are an asset: Derivatives Fundamental Course, Branch Managers Course, Chief Compliance Officers Course, Trader Trainer Course
• Minimum of five years in a compliance, audit or supervisory function with a Dealer Member, or five years other related employment with a securities regulatory organization
• Knowledge of securities industry, CIRO Dealer Members and their activities
• Excellent written and oral communication skills
• Motivated to make a difference
• Ability to challenge the status quo
• Attention to detail and ability to exercise sound judgement
• Ability to work independently in a team-oriented environment
• Ability to multi-task on various projects, adhere to timelines and work under pressure in different environments
• Interest in ongoing learning and professional development
• Understanding of the various departments at CIRO to be able to efficiently source information and advice
• Excellent understanding of how to document business processes, identify related internal controls, and develop appropriate compliance tests
• Ability to detect, analyze, and evaluate complex issues
• Analytics experience (trade reviews, trending, research analysis)
• Excellent organizational skills
• Strong problem solving and attention to detail
• Thorough knowledge of Microsoft Office programs
• Strong TeamMate skills
• Strong aptitude for new technology
• Strong interpersonal, written and oral communication skills
• Proficiency in Everlaw or other e-document management software, and MS Office (Word, Excel, PowerPoint, SharePoint, etc.)
• Time-management skills, including ability to prioritize effectively, multi-task and handle time sensitive assignments
• Ability to manage a high volume of confidential information with professionalism
• Experience in conducting electronic legal research using legal software and databases (ex. Lexis/Nexis, CanLII)

CULTURE AND WORKING ENVIRONMENT

Life at CIRO is purpose and performance- driven. We foster an inclusive culture where teamwork, a forward-thinking attitude, and integrity are at the core of everything we do. This creates an environment where employees thrive, grow, and are empowered to learn and contribute their best.
Joining CIRO means becoming part of a dynamic and transparent organization that values accountability and is committed to maintaining the highest standards of regulatory oversight in the financial industry.
Looking for a career where you can safeguard the integrity of Canadian markets? Join CIRO and be part of the team that secures our financial future.

CORE RESPONSIBILITIES:

• Support all e-discovery functions, including the intake, review, management, and production of documents and evidence received
• Support Investigators, including with the production of interview exhibits
• Support Enforcement Counsel, including with the preparation and disclosure, books of documents and other legal documents as needed (e.g. compendiums, settlement books, motion materials, affidavits, appeal files), and at hearings as needed
• Perform legislative, regulatory, and jurisprudential research (Canada and other jurisdictions)
• Monitor relevant legislative, regulatory and industry developments
• Draft legal memoranda and other supporting documents
• Provide Enforcement file support (as needed) including file management and record-keeping, document intake, drafting correspondence, maintaining internal databases, and opening/closing files
• Perform other paralegal functions as needed
• Work to enhance Enforcement’s capabilities, and support CIRO’s mission to be an agile and trusted regulator and its vision to regulate fairly and effectively so that investors feel protected

OUR PURPOSE AND OUR IMPACT

With offices across Canada - from Vancouver to Montreal, our mission is to promote healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures. As a regulator, we understand that we are all investors. Therefore, a career with us is a career with purpose, protecting our future. Our mission is to serve Canadians by overseeing investment and mutual fund dealers as well as trading activity on Canada’s marketplaces to ensure safe and equitable trading and investments. As regulators, we understand that we are all investors, and therefore a career with us is a career with purpose protecting our future.