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MFDA Career Opportunity

Case Assessment Officer (Toronto Office)


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.

Major Responsibilities

  • Review, analyze, and assess case assessment files.
  • Prepare and send correspondence and documentary requests.
  • Prepare comprehensive written reports outlining the facts and provide recommendations.
  • Conduct telephone calls with complainants and others where appropriate.
  • Communicate with securities commission staff and other administrative and law enforcement agencies where appropriate.
  • Obtain input from Management, MFDA Compliance staff, Enforcement counsel or others on issues arising in cases where appropriate.
  • Draft administrative resolutions, where appropriate, and participate in related discussions and telephone calls.
  • Communicate with Enforcement Department Staff on escalated cases when required.

Knowledge/Experience:

  • Broad knowledge and understanding of the Canadian securities industry, specifically the mutual fund industry
  • Broad knowledge of regulations and their applications, in particular, By-laws, Regulations, Policies and Rules of the MFDA.
  • Functions of other regulatory bodies.
  • Minimum 3 years securities industry.
  • Previous experience with a mutual fund dealer or a mutual fund company
  • Previous legal or accounting experience
  • Strong written and verbal skills.
  • Strong knowledge of Microsoft Office
  • Self-motivated.
  • Well-developed research, analytical, problem-solving, and organizational skills

Education:

  • University degree or equivalent
  • Canadian Securities Course
  • Branch Manager’s Course and/or the Chief Compliance Officer’s Course

Please apply to:
Mutual Fund Dealers Association of Canada
121 King Street West, Suite 1000
Toronto, Ontario M5H 3T9
Fax: (416) 361-6381
E-mail: humanresources@mfda.ca

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.