Market research on staff conduct risk solutions for the financial service industry in Canada, and the US - ON-086

Preferred Disciplines: Masters or PhD in business  with focus in law, organizational behaviour or public policy
Company: VigilantCS
Project Length: 4 months
Desired start date: May 1, 2017
Location: Ottawa, Ontario 
No. of Positions: 1
Preferences: University of Ottawa, Carleton University or Queen’s

About the Company: 

VigilantCS’ staff compliance platform provides a central hub to administer  and build compliance strategies for the financial services industry.  Through our cloud-based solution we provide financial service companies with strong controls, cost containment, better user experience and a better understanding of staff level conduct risk.

Project Description:

VigilantCS has built a cloud based tool to automate staff level compliance obligations in the Canadian financial services industry.  The project is intended to assess whether there would be a market for the platform in the US and assess what modifications are required to build a US solution.   

Research Objectives:

Research objectives will be:

  • Understand the US and international competitive landscape  for solutions that manage and measure staff conduct risk
  • Perform a regulatory requirement gap analysis for SEC and FINRA requirements relative to the VigilantCS existing Canadian centric software solution
  • Assess data fields and determine what fields may be a source to populate an algorithm to gauge staff conduct risk


  • Perform primary and secondary review of the conduct risk software market in North America
  • Complete a review of FINRA and SEC legislative requirements and best practices and build a data map and gap analysis relative to the existing VCS tool
  • Perform initial research on staff conduct risk and staff behaviour which supports building a compliant culture

Expertise and Skills Needed:

    • Ability to understand regulatory requirements
    • Ability to work independently
    • Outgoing people person
    • Entrepreneurial

    For more info or to apply to this applied research position, please

    1. Check your eligibility and find more information about open projects.
    2. Complete this webform. You will be asked to upload your CV. Remember to indicate the title of the project(s) you are interested in and obtain your professor’s approval to proceed!