Lead Forensic Investigator

At FSRA, our vision is to ensure financial safety, fairness, and choice for Ontarians. As a financial services regulator, we’re passionate about protecting consumers. Our principles-based approach means we can quickly and effectively respond to the changing needs of consumers and the industry.
 

Our team combines industry expertise with commitment to public service. We attract individuals who are interested in meaningful work and who measure success through outcomes, not inputs.
 

At FSRA, we invest in the personal and professional growth of our team.  We offer a competitive compensation package that includes an employer-matched defined benefit pension plan, and a comprehensive and competitive benefits plan. We prioritize learning and development, wellbeing, diversity, equity, inclusion and belonging, and community giving.
 

Join FSRA and help us shape the future of regulation for generations to come!

Job Description:

Multiple vacancies both permanent and fixed term

PURPOSE OF POSITION(S) 

Accountable for providing specialized forensic investigation expertise and team leadership to complex investigations to determine whether there have been contraventions under the nine (9) provincial Acts that FSRA enforces within all regulated financial services sectors. To act as Provincial Offences Officer and/ or Special Constable under delegated authority in preparing and assisting in enforcement proceedings and prosecutions. 

KEY RESPONSIBILITIES  

• Leads the review and analysis of evidence collected relating to issues of non-compliance brought forward by the Market Conduct Compliance Team to the Case Management Committee. Interviews Compliance staff to gather further information to assess the need for investigation and determine the relative priorities of each investigation. 

• Leads multiple complex investigations, forensic examinations, and reviews of sensitive, contentious situations, potential risks or allegations related to contraventions and fraud including misapplication, misappropriation, conflict of interest or dishonesty in the conduct of Sector business. 

• Evaluates and determines investigative objectives, strategies, methods and resourcing, and information gathering (i.e., interviewing parties, identifying, and interviewing relevant witnesses), gathering and securing documentary and other evidence in accordance with the Ontario Evidence Act, Canada Evidence Act and Charter of Rights and Freedoms.  

• With a search warrant, or other investigative evidence gathering tools and techniques, collects and securely preserves all documents and records on the premises or elsewhere that are relevant to the investigation.  

• Applies investigative expertise, protocols, tools, technologies, methodologies, and questioning techniques to achieve maximum efficiency and effectiveness in interviewing subjects and witnesses, in the gathering of evidence and formulation of conclusions and recommendations pursuant to an investigation. Evaluates the credibility, relevance and probative value of evidence, and determines the factual circumstances of situations. 

• Ensures privacy and confidentiality is maintained throughout all phases of investigations. 

• Weighs and  analyzes evidence in a fair, impartial, and appropriately discrete and thorough manner to adequately support investigation results and meet admissibility requirements of any subsequent proceedings. relating to potential contraventions or offences pursuant to FSRA Acts, Provincial Offences Act or Criminal Code. Prepares formal investigative reports, briefing notes, memoranda and analytical summaries to support findings for the Management and for litigation purposes and enforcement actions supported by evidence (e.g., sanctions including administrative monetary penalties, compliance order, licence suspension or revocation, quasi-criminal or criminal charges, etc.). Leads and/or coordinates the preparation of other correspondence to respond to issues. 

• Conducts analysis and develops in-depth reports/statistics detailing multi-faceted information to demonstrate trends and patterns across sectors. 

• Coordinates and assists law enforcement partners on the particulars, evidence or conclusions regarding any investigation or potential investigation that has criminal ramifications. 

• Works with aligned FSRA or external counsel to track and maintain the flow of investigations from intake to the final disposition phase, as required. 

• Leads the development/drafting of relevant court documentation (e.g., Crown Briefs, etc.) and appears as a witness in proceedings.  

• Alerts management to control issues requiring expeditious action and keeps management and executives informed of the status and outcomes of investigative activity. Participates in meetings with management and executive leadership to provide updates on investigations, contentious investigation issues or impending investigations. 

• Provides expertise and leadership to a team of investigators (including external consultants). Mentors and coaches the team and facilitates a positive work environment and encourages staff to contribute to continuous improvement in the delivery of investigation activities. Assigns and monitors work, provides technical guidance, and reviews work files to evaluate evidence and resolve problems within the framework of FSRA standards and expectations. 

• Leads the development and implementation of proactive strategies to assist management in detecting and deterring misconduct, including the provision of expertise and advice in fraud management, the development of tools, techniques, and processes to manage exposure. 

• Develops training materials and delivers educational sessions for colleagues and other functional areas in areas such as fraud, interviewing, conflict of interest and risk awareness. 

• Contributes expertise to the development of investigative tools and quality practice standards, guidelines and procedures and continuous improvement activities and communicates information to the team on the implementation of new/amended policy/legislation, and program delivery processes. 

• Participates in FSRA and other Regulatory or Law Enforcement committees or organizations to provide input to address prevention, detection and disruption activities, practices, and information sharing. 
   

QUALIFICATIONS       

Education and Experience  

• University degree in related field including accounting, economics, business, commerce, criminology, or psychology. 

• Proven experience leading and conducting complex forensic investigations in government or the financial sector. 

• Experience interviewing subjects is required. 

• Security clearance required. 

• Travel throughout the province. 
   

Knowledge and Skills  

• Strong knowledge of the sectors FSRA regulates and the 9 pieces of legislation it enforces (e.g., Insurance Act, Mortgage Brokerages, Lenders and Administrators Act, 2006, Credit Union and Caisse Populaires Act, Pension Benefits Act, Loan and Trust Corporations Act, etc.). 

• Demonstrated in-depth knowledge of and experience in court procedures  the Criminal Code, Charter of Rights and Freedoms, Canada Evidence Act, Ontario Evidence Act, Ontario Provincial Offences Act, PIPEDA, FIPPA and MFIPPA and related case law. 

• In-depth knowledge of investigation principles, theories, practices, standards and tools, and interviewing techniques to collect, preserve and present evidence, and to interview witnesses in order to obtain information. 

• Financial analysis techniques to determine circumstances of fraudulent activity, to conduct sensitive questioning of witnesses and subjects and to apply an operational understanding of controls in conducting vulnerability assessments pertaining to fraud exposures. 

• Risk assessment and risk management principles to make recommendations on complex issues. 

• Information technology sufficient to understand its effect on controls and inherent weaknesses in providing opportunities for fraud and dishonesty. 

• Knowledge of court procedures, practices, and processes to prepare and submit information on possible prosecutions, assist counsel in legal actions, and to act as an agent of FSRA in court proceedings. 

• Leadership skills to provide oversight of investigations and to coach and mentor the team to achieve results and motivate performance. 

• Ability to gather, analyze, and synthesize information and data from multiple sources and summarize investigative findings clearly and concisely in writing. 

• Excellent judgment, discretion, integrity, and ability to maintain neutrality in challenging situations. 

• Strong analytical and problem-solving skills, and an appreciation for detail and thoroughness. 

• Tactical communication skills to maintain composure and adjust behaviour to suit the individual and situation (including posture, tone, assertiveness, spatial distance, eye contact, facial expressions) and to diffuse situations when required, adjusting communication style to accommodate an audience or situation. 

• Active listening skills to gain valuable information during interviews, to establish rapport with a variety of people in the course of conducting investigations; to be assertive yet professional when interacting with witnesses and corporate representatives. 

• Strong interpersonal, communication skills, and superior writing and documentation skills to conduct meetings, prepare investigation, witness or supplemental reports, recommendations, and other materials, develop and deliver training and facilitate educational sessions for topics such as fraud, risk and conflict of interest. 

• Proficient with Microsoft Office (Word, Excel, PowerPoint, SharePoint, Teams) and other applications 

*Please note that this position will close at 12AM on the expiry date*

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FSRA is committed to ensuring equity in employment. Our goal is to create a diverse, inclusive workforce that reflects the communities we serve and to ensure our services and communications are accessible to all individuals. Accommodation is available under the Ontario Human Rights Code.

NOTE: ONLY QUALIFIED CANDIDATES WILL BE CONSIDERED