Senior Case Assessment Officer

The Sr. CAO has an important role in fulfilling CIRO’s investor protection mandate. Working in our Enforcement Department, the Sr. CAO is responsible for conducting preliminary investigations of regulatory complaints received from public investors and other regulatory bodies, as well as other matters reported through CIRO’s Complaints and Settlements database. The Sr. CAO collects information and documents from complainants, CIRO-regulated firms and other information sources in order to assess and identify possible regulatory misconduct. The Sr. CAO conducts a comprehensive analysis of regulatory complaints and prepares detailed reports on the findings and recommendations for appropriate action including referring matters to other CIRO departments and regulatory organizations.