Case Assessment Officer

The Case Assessment Officer has an important role in fulfilling CIRO’s investor protection mandate. Working in the Enforcement Department, the CAO is responsible for conducting preliminary investigations of regulatory complaints received from investors, regulatory bodies, and other matters reported through the Complaints and Settlements (ComSet) database. The CAO collects information and documents to assess possible regulatory misconduct, conducts analysis of complaints, and prepares reports with findings and recommendations, including referrals to other CIRO departments and regulatory organizations. The CAO also liaises with Enforcement staff, CIRO departments, and regulatory bodies to exchange information and coordinate referrals where appropriate.