Overview
Senior Complaints & Inquiries Specialist Jobs in Toronto, Canada at CIRO / OCRI
Position Title: Senior Complaints & Inquiries Specialist
Department: Complaints & Inquiries
Location: Calgary, Montreal, Toronto, or Vancouver
Status: Permanent Full-Time (Hybrid)
As a self‑regulatory organization, the Canadian Investment Regulatory Organization (CIRO) is committed to setting high regulatory standards for the investment industry, safeguarding investors, and supporting the integrity of Canada’s capital markets.
Join a growing team and contribute to the dynamic and complex world of Canadian capital markets. The Complaints & Inquiries Department (C&I) is the first point of contact for the majority of incoming inquiries and complaints to CIRO. C&I is the main contact for public investors, but also plays an important triage role for other types of contacts.
In this role, you will assist investors on a daily basis by responding efficiently and helpfully to investor inquiries and acting as the initial contact for all public investor complaints, both verbal and written. You will effectively convey CIRO’s mandate of investor protection through your communications with the public, providing consistent and accurate information about CIRO’s role, the complaint process, and the complainant’s options regarding compensation, if applicable.
The role is research intensive, as the department receives a wide variety of inquiries and complaints involving trading on Canadian markets, CIRO’s role, investment and trading rules, the activity of our dealers, and more.
You will routinely communicate with other CIRO departments in researching inquiries or complaints and often provide written responses to investors explaining complex or contentious matters in plain language. In appropriate cases you will assist investors who have non‑regulatory complaints until either their issue has been resolved or they have been provided with complete information about their options for resolving the issue.
In some instances, this will involve working with senior staff at the CIRO member firm to resolve the investor’s issues.
You will assess all public complaints received and make determinations as to the potential violations and, if regulatory in nature, refer those complaints to the appropriate CIRO department immediately after fully explaining CIRO’s role, the complaint process, and compensation options to the complainant. You will also assist in identifying and reporting to management evolving trends and policy issues or concerns.
Core Responsibilities
- Act as the first point of contact for all public investor inquiries and complaints, including those related to dealer conduct, marketplace trading, and CIRO’s Debt Information Processor role.
- Provide consistent, thorough, and accurate information about CIRO’s role, the complaint process, and compensation options to help manage complainant expectations.
- Collect and analyze information from the investor and provide timely, accurate responses conveyed in plain language.
- Accurately assess and determine the appropriate course of action for all public complaints.
- Accurately record the receipt of all complaints and inquiries in the internal case management system and ensure all documents and correspondence are attached.
- Identify to management evolving trends, egregious matters, policy issues or concerns.
Key Skills and Competencies Must‑haves
- A passion for assisting investors with strong empathy.
- Outstanding written and verbal communication skills.
- Accuracy and strong attention to detail.
- Ability to articulate and communicate complex issues to a variety of audiences.
- Understanding of current and emerging issues in securities and capital markets regulation.
- Strong networking and relationship‑building/collaboration skills.
- Strong personal initiative, problem‑solving and decision‑making skills, research and analytical skills, creativity, and ability to work independently and as part of a team.
- Ability to work in a fast‑paced environment, balancing multiple priorities within specific time deadlines and with frequent interruptions.
- Working knowledge and application of dispute resolution methods.
- Demonstrated ability to communicate with individuals who are distressed, emotionally distraught or who…
Title: Senior Complaints & Inquiries Specialist
Company: CIRO / OCRI
Location: Toronto, Canada
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