Investigator, Systems and Data
Montreal, CA
3d ago

Reporting to the Director, Core Regulatory Functions, the Investigator, Systems and Data is responsible for analyzing and interpreting all relevant data, as part of any investigation, in particular in response to complaints received from approved participants, clients and market operations personnel or referred by the Coordination Committee of the Regulatory Division (the Division ), in order to formulate recommendations.

The Investigator uses, in particular, quantitative analysis methods and statistics. The Investigator shall employ analytical rigour to sift through the data and identify opportunities for improvements, in terms of developing tools, optimizing processes, identifying trading practices and using electronic evidence.

Key Accountabilities :

Conducts investigations, as assigned, in response to complaints from approved participants, clients and the Market Operations Department as well as cases referred mainly by the Division’s Coordination Committee.

Communicates with participants to request additional information.

Participates in interviews with other investigators.

Prepares complete investigation reports, including findings based on the facts and the evidence collected.

Keeps an updated record for the investigation files.

Collaborates with investigators on formulating requests for information relevant to Montréal Exchange participants.

Verifies the completeness and accuracy of the information submitted by any participant.

Works with large quantities of complex data and develops solutions to large-scale problems, including by transforming, synthesizing and cleaning data.

Prepares relevant data analysis reports, in particular for any investigation or enforcement file.

Writes standard procedures for creating, organizing, cleaning, storing, documenting, verifying the accuracy of, extracting, exporting, converting, merging and manipulating small and large data files.

Participates in disciplinary matters and serve as a witness, if required, before a Disciplinary Committee of the Exchange or any other body.

Participates in research projects on statistical methodology and machine learning applications.

Provides solutions for automating data analysis, in particular for investigations and disciplinary matters.

Helps find ways to improve the Division’s investigations.

Carries out all other related duties assigned by the immediate supervisor.

Skills and Experience :

  • University degree in statistics, mathematics, computer science or any other discipline related to experimental quantitative analysis or a bachelor’s degree in law, finance, business administration, economics or equivalent;
  • Experience analyzing statistical data;
  • Work experience with statistical software suites (R, S-Plus, SAS, etc.);
  • Programming experience with one or more of the following languages : C / C++, Scala, TensorFlow, Python and Go;
  • Excellent ability to communicate in both English and French;
  • Superior analysis and research skills;
  • Skills in formulating findings and recommending follow-up actions;
  • Good judgement;
  • Organizational skills and priority management;
  • Attention to detail;
  • Ability to write documents that are simple, clear, concise and logical;
  • Tact and diplomacy;
  • Assets :

  • Knowledge of capital markets (the Canadian Securities Course (CSC) or equivalent);
  • Derivatives course or training;
  • Experience in the securities industry, more specifically in derivatives compliance and / or trading, or with a member of a regulatory organization or a self-regulatory organization (SRO) as an investigator or inspector for this organization;
  • Experience in machine learning using large data sets; and

    Demonstrated skill in teaching new techniques to others.

    Le Groupe TMX s’est engagé à créer et à maintenir un milieu de travail empreint de collaboration au sein duquel chacun est traité avec dignité et respect, et qui reflète la diversité de la collectivité où nous exerçons nos activités.

    Nous mettons en place des mesures d’adaptation pour les candidats et les employés qui en ont besoin.

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