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.
- 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.
- 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
- Well-developed research, analytical, problem-solving, and organizational skills
- 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
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.