A Canadian Investment Regulatory Organization seeks a Senior Director for Case Assessment, Complaints & Inquiries. This pivotal leadership role entails managing complaint intake and case assessment functions while ensuring effective handling and regulatory compliance across the organization. The successful candidate will have significant experience in capital markets and demonstrate key skills in communication, leadership, and strategic development. A bilingual ability in French and English is an asset. The role comes with competitive rewards, health benefits, and a hybrid work arrangement. #J-18808-Ljbffr
A self-regulatory organization is seeking a Senior Director for Case Assessment, Complaints & Inquiries in Vancouver. In this critical leadership role, you will oversee all complaint and inquiry management, ensuring consistent responses and oversight of case assessments across Canada. The ideal candidate has significant expertise in capital markets regulation and proven experience in people management. Join a dynamic team dedicated to safeguarding investors and the integrity of Canada's capital markets. Competitive salary and hybrid work options are offered. #J-18808-Ljbffr
A self-regulatory organization in Canada seeks a Legal Counsel to provide legal support in hearing processes and ensure impartiality and excellence in administrative justice. The ideal candidate has a Law degree, is a member of a Canadian law society, and brings at least 5 years of relevant legal experience. This hybrid role offers competitive benefits, including health benefits and a defined contribution pension plan with matching. Fluency in both French and English is required. #J-18808-Ljbffr
A national investment regulator located across Canada seeks a Legal Counsel to join its General Counsel’s Office. The ideal candidate will have a Law Degree and 5+ years of litigation experience. Responsibilities include providing legal advice during hearings, ensuring procedural fairness, and supporting non-legal decision-makers. This full-time, hybrid opportunity offers a competitive salary range of $105,000 - $120,000 annually along with a comprehensive benefits package. Proficiency in both English and French is necessary. #J-18808-Ljbffr
A national regulatory organization is seeking a Legal Counsel to support hearing processes and provide independent legal advice to hearing committees. The ideal candidate will have a law degree, be a member in good standing of a Canadian law society, and possess a minimum of 5 years of relevant experience. This full-time, hybrid position in Ontario offers competitive compensation and a supportive team environment, committed to fairness and integrity in administrative justice. #J-18808-Ljbffr
Position Title: Senior Director, Enforcement Litigation
Department: Litigation
Location: Toronto, Vancouver, Calgary, Montreal
Status: Permanent Full-Time (Hybrid)
About This Opportunity
The Senior Director, Enforcement Litigation is a critical leadership role within CIRO’s Enforcement function. The Senior Director is responsible for the management and oversight of enforcement proceedings. These enforcement proceedings relate to CIRO Investment Dealer and Partially Consolidated (IDPC) Rules, Mutual Fund Dealer (MFD) Rules, the Universal Market Integrity Rules (UMIR), and related securities law requirements. This role manages the conduct of enforcement proceedings by Enforcement Counsel across the country to ensure a consistent and coordinated approach. In doing so, the Senior Director works closely with the rest of the Enforcement team, particularly with Investigations Staff. While the Senior Director will primarily report to the Vice‑President Enforcement, he/she will also report to the leaders of the Quebec and Atlantic and the Western region on matters arising in those jurisdictions. The role is pivotal in ensuring enforcement proceedings are timely, fair, and effective.
Core Responsibilities
Operational Leadership and Oversight
Direct, advise, and oversee enforcement proceedings and provide input on investigations
Responsible for decisions related to enforcement proceedings and the activities of the Enforcement department
Ensure enforcement proceedings and investigations are timely, fair, and effective
Actively participate in the overall management of the Enforcement department and provide strategic and operational support
Resolve complex and ambiguous issues that arise during the investigation and litigation of cases
People Leadership and Team Development
Ensure Enforcement Counsel have the tools, training and resources necessary to execute their responsibilities
Provide leadership to Enforcement Counsel and other Enforcement Staff
Strategic Direction and Policy Development
Act as strategic advisor to the Vice President, Enforcement
Set direction in key business areas, and develop relevant policy/strategic initiatives that will enhance the overall effectiveness of investigations and litigation
Cross Functional and External Collaboration
Represent the department to external stakeholders including the provincial securities commissions
Collaborate with the Corporate Communications & Public Affairs and Office of the Investor departments to ensure consistent public messaging
Regularly collaborate with Case Assessment and Investigations to ensure the timely, fair and effective promotion of cases
Work closely with other CIRO departments to inform, assist or collaborate
Education and Experience
LL.B/JD
Membership in good standing with the Law Society of a Canadian provincial or territorial jurisdiction
At least 10+ years’ of litigation experience, including conducting appeals or reviews of tribunal decisions
Experience in the area of capital markets regulation, including an in-depth understanding of securities legislation and CIRO Dealer Member Rules and the Universal Market Integrity Rules (UMIR)
At least 3+ years of management experience
Relevant industry courses
Demonstrated experience managing change in an increasingly fast‑paced and changing environment
What You Bring
Broad and comprehensive expertise in leading and conducting litigation in a regulatory context
Advanced knowledge of the capital markets and securities industry, including dealer operations, retail sales, trading, complaint handling and compliance
Solid knowledge of the securities regulatory framework including securities legislation, and in particular CIRO Dealer Member Rules and UMIR
Understanding of the direction taken by the organization on issues pertinent to the area of responsibility
Sound business judgment
Solid knowledge of the operation of other CIRO departments
Strong ability to build relationships and work closely with internal and external stakeholders at all levels
Strong problem‑solving and critical‑thinking skills to comprehend complex issues
Working knowledge and application of dispute resolution methods
Team player with excellent leadership skills
Excellent communication, presentation and writing skills
Demonstrated initiative and dependability
Excellent organizational skills
Bilingual (French/English) is an asset
What We Offer
Competitive base salary in alignment with market
Performance based bonus
Hybrid work environment
Employer paid Health Benefits and Spending Account that offer flexibility to meet your individual or family needs as of day one.
Defined Contribution Pension Plan with company matching that starts on your first day of employment.
Paid flex days and sick days
Vacation days
Maternity Leave Of Absence /Paternity Leave Of Absence top up
Paid continuous learning and continuing development including designations.
Our Commitment
CIRO is an equal opportunity employer and is committed to providing employment accommodation in accordance with the Ontario Human Rights Code and the Accessibility for Ontarians with Disabilities Act, 2005 (AODA). CIRO will provide accommodation to job applicants with disabilities throughout the recruitment process. Should you require accommodation, please contact Human Resources. We are committed to creating an inclusive and barrier‑free recruitment and selection process across Canada. We welcome applications from all qualified individuals and are dedicated to providing accommodations upon request for candidates participating in all aspects of the recruitment process, in accordance with applicable human rights and accessibility legislation.
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Location
Toronto, Montreal, Calgary, Vancouver
Employment Type
Regular
Working Arrangement
Full-time, Hybrid
About Us
As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) is committed to setting high regulatory standards for the investment industry, safeguarding investors, and supporting the integrity of Canada’s capital markets. Join a growing team and contribute to the dynamic and complex world of Canadian capital markets.
Position Title
Legal Counsel
Department
General Counsel’s Office
About This Opportunity
Reporting to the Associate General Counsel, Litigation, Legal Counsel is part of the Hearings Office, within the General Counsel’s Office, and is responsible for providing support and independent legal advice to the CIRO Hearing Committees on matters related to hearing processes, procedural fairness, and other issues arising during hearing proceedings. Legal Counsel is deeply committed to impartiality, integrity, and excellence in administrative justice, ensuring that proceedings are conducted in a manner that is fair, transparent, and consistent with applicable laws and principles of natural justice. Legal Counsel maintains strict independence from CIRO’s investigative and enforcement functions and upholds the Hearing Committees’ core values of fairness, impartiality, excellence, and timeliness. Legal Counsel also supports and provides clear, practical legal guidance to non‑legal decision‑makers and participates in other functions of the General Counsel’s Office.
Core Responsibilities
Participate in and support all aspects of the hearing process
Provide assistance and independent legal advice to hearing panels and internal decision‑makers, including reviewing submissions, conducting legal research, preparing legal memoranda, providing drafting assistance and legal advice as required by the hearing panels and other decision‑makers
Make recommendations on hearing and regulatory decision‑making processes
Provide legal guidance on organizational priorities and cross‑functional projects as part of the General Counsel’s Office as required
What You Bring
Must‑have
Law Degree (LL.L., LL.B. or J.D.)
Member, in good standing, with a Canadian law society
Minimum of 5 years of litigation or equivalent legal experience in a regulatory environment and/or private practice
Previous experience with and knowledge of best practices and innovative approaches in administrative tribunals
In‑depth knowledge of administrative law and rules of evidence, CIRO rules of procedure and securities laws
Neutrality and independence in all aspects of the hearing process
Excellent verbal and written communication, legal research and drafting skills
Knowledge of the investment and/or mutual fund industry and regulations
Strong interpersonal skills and ability to build collaborative relationships
Ability to thoroughly evaluate alternatives, employ a proactive approach, and take initiative to resolve issues
Ability to think and act independently, multi‑task and prioritize competing matters
Attention to detail and ability to quickly grasp complex legal issues
Nice to have
Combined civil and common law degrees
Bilingual (French and English)
What we offer
Competitive total rewards program including performance‑based bonus *
Hybrid work environment
Employer paid Health Benefits and Spending Account that offer flexibility to meet your individual or family needs as of day one*
Defined Contribution Pension Plan with company matching that starts on your first day of employment*
Paid flex days and wellness days*
Maternity and Parental Leave top up *
Paid continuous learning and continuing development including designations*
*Asterisked offerings are not applicable to contracts
Our Commitment
CIRO is an equal opportunity employer and is committed to providing employment accommodation in accordance with the Ontario Human Rights Code and the Accessibility for Ontarians with Disabilities Act, 2005 (AODA). CIRO will provide accommodation to job applicants with disabilities throughout the recruitment process. Should you require accommodation, please contact Human Resources.
CIRO is a pan‑Canadian organization that oversees all investment dealers and trading activity in marketplaces across Canada. This position requires the ability to communicate with employees in CIRO regional offices and other CIRO stakeholders across Canada. Accordingly, proficiency in both official languages of Canada (French and English) is needed. Due to the frequent interactions with internal and external English‑speaking members, clients, representatives, firms, Canadian provincial and territorial securities regulators, and employees situated outside of Quebec, the position requires a fully bilingual candidate.
#J-18808-Ljbffr
Location:
Toronto, Montreal, Calgary, Vancouver
Employment Type:
Regular
Working Arrangement:
Full-time, Hybrid
About Us
As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) is committed to setting high regulatory standards for the investment industry, safeguarding investors, and supporting the integrity of Canada’s capital markets. Join a growing team and contribute to the dynamic and complex world of Canadian capital markets.
Position Title
Legal Counsel
Department:
General Counsel’s Office
Location:
Toronto, Montreal, Calgary, Vancouver
Employment Type:
Regular
Working Arrangement:
Full-time, Hybrid
About This Opportunity
Reporting to the Associate General Counsel, Litigation, Legal Counsel is part of the Hearings Office, within the General Counsel’s Office, and is responsible for providing support and independent legal advice to the CIRO Hearing Committees on matters related to hearing processes, procedural fairness, and other issues arising during hearing proceedings. Legal Counsel is deeply committed to impartiality, integrity, and excellence in administrative justice, ensuring that proceedings are conducted in a manner that is fair, transparent, and consistent with applicable laws and principles of natural justice. Legal Counsel maintains strict independence from CIRO’s investigative and enforcement functions and upholds the Hearing Committees’ core values of fairness, impartiality, excellence, and timeliness. Legal Counsel also supports and provides clear, practical legal guidance to non-legal decision-makers and participates in other functions of the General Counsel’s Office.
Core Responsibilities
Participate in and support all aspects of the hearing process
Provide assistance and independent legal advice to hearing panels and internal decision-makers, including reviewing submissions, conducting legal research, preparing legal memoranda, providing drafting assistance and legal advice as required by the hearing panels and other decision-makers
Make recommendations on hearing and regulatory decision‑making processes
Provide legal guidance on organizational priorities and cross‑functional projects as part of the General Counsel’s Office as required
What You Bring
Must‑have
Law Degree (LL.L., LL.B. or J.D.)
Member, in good standing, with a Canadian law society
Minimum of 5 years of litigation or equivalent legal experience in a regulatory environment and/or private practice
Previous experience with and knowledge of best practices and innovative approaches in administrative tribunals
In‑depth knowledge of administrative law and rules of evidence, CIRO rules of procedure and securities laws
Neutrality and independence in all aspects of the hearing process
Excellent verbal and written communication, legal research and drafting skills
Knowledge of the investment and/or mutual fund industry and regulations
Strong interpersonal skills and ability to build collaborative relationships
Ability to thoroughly evaluate alternatives, employ a proactive approach, and take initiative to resolve issues
Ability to think and act independently, multi‑task and prioritize competing matters
Attention to detail and ability to quickly grasp complex legal issues
Nice to have
Combined civil and common law degrees
Bilingual (French and English)
What we offer
Competitive total rewards program including performance‑based bonus *
Hybrid work environment
Employer paid Health Benefits and Spending Account that offer flexibility to meet your individual or family needs as of day one*
Defined Contribution Pension Plan with company matching that starts on your first day of employment*
Paid flex days and wellness days*
Maternity and Parental Leave top up *
Paid continuous learning and continuing development including designations*
*Asterisked offerings are not applicable to contracts
Why the Canadian Investment Regulatory Organization (CIRO)
Life at CIRO is purpose and performance‑driven. We foster an inclusive culture where teamwork, a forward‑thinking attitude, and integrity are at the core of everything we do. This creates an environment where employees thrive, grow, and are empowered to learn and contribute their best.
Joining CIRO means becoming part of a dynamic and transparent organization that values accountability and is committed to maintaining the highest standards of regulatory oversight in the financial industry.
Our Commitment
CIRO is an equal opportunity employer and is committed to providing employment accommodation in accordance with the Ontario Human Rights Code and the Accessibility for Ontarians with Disabilities Act, 2005 (AODA). CIRO will provide accommodation to job applicants with disabilities throughout the recruitment process. Should you require accommodation, please contact Human Resources.
CIRO is a pan‑Canadian organization that oversees all investment dealers and trading activity in marketplaces across Canada. This position requires the ability to communicate with employees in CIRO regional offices and other CIRO stakeholders across Canada. Accordingly, proficiency in both official languages of Canada (French and English) is needed. Due to the frequent interactions with internal and external English‑speaking members, clients, representatives, firms, Canadian provincial and territorial securities regulators, and employees situated outside of Quebec, the position requires a fully bilingual candidate.
We are committed to creating an inclusive and barrier‑free recruitment and selection process across Canada. We welcome applications from all qualified individuals and are dedicated to providing accommodations upon request for candidates participating in all aspects of the recruitment process, in accordance with applicable human rights and accessibility legislation.
Our Recruitment Process
This posting reflects an active vacancy on our team
We use automated (AI) tools to assist with candidate sourcing and communications. Applications are reviewed by our hiring team and hiring decisions are made by people.
This role has a hiring range of $105,000 - $120,000 with the placement and offered salary being based on knowledge, skills, education/training and experience, as well as external market conditions and internal equity.
While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted. #hiring
#J-18808-Ljbffr
Position Title: Analytics, Product Manager
Department: Analytics
Location: Toronto
Status: Permanent Full-Time (Hybrid)
Day in the life of:
As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) is committed to setting high regulatory standards for the investment industry, safeguarding investors, and supporting the integrity of Canada’s capital markets.
Join a growing team and contribute to the dynamic and complex world of Canadian capital markets.
Reporting to the Vice President of Analytics, the Product Manager will work with a team of full-stack developers and data scientists on the development and evolution of data-driven products that enable process automation, predictive modelling, and insights and decision-making across the organization. This role blends product thinking with business strategy, helping prioritize and deliver high-impact analytics solutions for internal and external stakeholders.
Core Responsibilities:
Define and maintain the product vision and roadmap for analytics tools, dashboards, and data platforms
Identify and champion high-impact opportunities to embed data into decision‑making and operations
Partner with business leaders to understand needs, pain points, and success metrics
Gather and prioritize requirements from internal users across departments
Partner with business leads, analysts, data scientists, and engineers to define and deliver high‑value use cases
Act as the voice of the customer (internal stakeholders) to guide development
Work with Agile teams to plan sprints and ensure features are delivered on time and meet quality standards
Support alignment with enterprise data architecture, governance, and quality standards
Maintain a healthy backlog and translate business needs into epics, user stories, and acceptance criteria
Define success metrics for analytics products and track adoption and usage
Continuously gather feedback and iterate on features based on user insights
Ensure all teams are aligned through clear, continuous communication
Key Skills and Competencies:
Bachelor's degree in Business, Engineering, Computer Science, or a related field (MBA or Master’s a plus)
3–5 years of experience in product management, analytics, business intelligence, or a related field
Ability to translate complex data requirements into actionable product plans
Proven ability to work across business and technical teams to deliver impactful solutions
Strong understanding of data concepts, reporting tools, and business analysis
Excellent communication, facilitation, and relationship‑building skills
Technical fluency with data concepts (ETL, warehousing, data governance)
Experience with BI tools (e.g., Power BI) and cloud data ecosystems (AWS, Azure)
Experience/knowledge in the Canadian capital market
Strong business acumen with the ability to challenge assumptions and drive value
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Position Title: Senior Director, Case Assessment, Complaints & Inquiries
Department: Enforcement
Location: Toronto, Calgary, Vancouver, Montreal
Employment Type: Regular
Working Arrangement: Full-time, Hybrid
About Us
As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) is committed to setting high regulatory standards for the investment industry, safeguarding investors, and supporting the integrity of Canada’s capital markets. Join a growing team and contribute to the dynamic and complex world of Canadian capital markets.
About This Opportunity
The Senior Director, Case Assessment, Complaints and Inquiries is a critical leadership role within CIRO’s complaint intake and Enforcement functions. The Senior Director is responsible for the management and oversight of all complaints and inquiries received by CIRO from the investing public, ensuring consistent responses and promotion of appropriate cases. These complaints and inquiries, which are primarily handled by a team of senior complaints and inquiries specialists across the country, may relate to CIRO Investment Dealer and Partially Consolidated (IDPC) Rules, Mutual Fund Dealer (MFD) Rules and/or the Universal Market Integrity Rules (UMIR), CIRO’s internal policies and procedures, the investment industry generally, investor complaint handling by CIRO dealers, compensation options for investors who suffer losses, or any other topic. The Senior Director tracks and analyzes the volume and nature of incoming complaints and inquiries to detect trends and high priority matters, provides statistical reporting on these matters both internally and externally, and develops strategic responses to promote CIRO’s investor protection mandate. The Senior Director is also responsible for the management and oversight of CIRO’s case assessment group involving the review and assessment of potential violations of CIRO Dealer Member Rules by CIRO dealer members and their representatives. The Senior Director, with the assistance of a team of case assessment managers, will oversee the conduct of all case assessments across the country to ensure a consistent and coordinated approach. As part of CIRO’s case assessment function, the Senior Director is responsible for all reviews of ComSet events filed by CIRO dealer members. The Senior Director ensures that all case assessments are carried out competently and on a timely basis. The Senior Director will also work closely with the Directors of Enforcement Litigation and Investigations to ensure the Enforcement Department operates efficiently and effectively.
Core Responsibilities
Operational Leadership and Oversight
Direct, advise, and oversee all complaint, inquiry and case assessment activities
Responsible for decisions related to the Case Assessment and Complaints & Inquiry (C&I) groups
Ensure teams are providing consistent, effective and efficient review of complaints, inquiries and case assessments
Actively participate in the overall management of the Enforcement and C&I Departments and provide strategic and operational support
Resolve complex, ambiguous issues such as complaints that have escalated beyond the responsible manager
Oversee intake, assessment and recommendations for action based upon Whistleblower reports
Monitor department activity for trends and urgent issues
People Leadership and Team Development
Ensure the C&I and Case Assessment groups have the tools, training and resources necessary to execute their responsibilities
Provide leadership to the team of C&I Specialists and Manager, Case Assessment Managers, Case Assessment Officers, Case Assessment Analysts, and support staff
Strategic Direction and Policy Development
Act as strategic advisor to the Vice President, Complaint Intake and Operations
Set direction in key business areas, and develop relevant policy/strategic initiatives that will enhance the overall efficacy of complaint, inquiry and case assessment handling
Act on behalf of the VP and SVP as required
Cross Functional and External Collaboration
Represent the department to external stakeholders including the provincial securities commissions
Collaborate with the Corporate Communications & Public Affairs and Office of the Investor departments to ensure consistent public messaging
Regularly collaborate with the Directors, Investigations to ensure promotion of appropriate case assessment matters
Work closely with other CIRO departments to inform, assist or collaborate
Reporting and Compliance
Create and produce various statistical reports for the C&I Department to a variety of internal and external sources
Assist with the Enforcement Department’s regular reporting requirements to the CSA, CIRO board or senior management
Education And Experience
University degree and/or professional designation in finance, business administration, accounting or law and/or equivalent work experience
At least ten years’ experience in capital markets regulation
At least five years of managing people leaders
Relevant industry courses
Demonstrated experience managing change in an increasingly fast-paced and changing environment
What You Bring
Broad and comprehensive expertise in leading-edge theories, techniques and/or business practices within the conduct of case assessments in the criminal or regulatory context
Advanced knowledge of the capital markets and securities industry, including dealer operations, retail sales, trading, complaint handling and compliance
Solid knowledge of the securities regulatory framework including securities legislation, and in particular CIRO Dealer Member Rules and UMIR
Understanding of the direction taken by the organization on issues pertinent to the area of responsibility
Sound business judgment
Solid knowledge of the operation of other CIRO departments
Strong ability to build relationships and work closely with internal and external stakeholders at all levels
Strong problem-solving and critical-thinking skills to comprehend complex issues
Working knowledge and application of dispute resolution methods
Team player with excellent leadership skills
Excellent communication, presentation and writing skills
Demonstrated initiative and dependability
Excellent organizational skills
Bilingual (French/English) is an asset
What we offer
Competitive total rewards program including performance-based bonus *
Hybrid work environment
Employer paid Health Benefits and Spending Account that offer flexibility to meet your individual or family needs as of day one*
Defined Contribution Pension Plan with company matching that starts on your first day of employment*
Paid flex days and wellness days*
Maternity and Parental Leave top up *
Paid continuous learning and continuing development including designations*
*Asterisked offerings are not applicable to contracts
Why the Canadian Investment Regulatory Organization (CIRO)
Culture and Working Environment
Life at CIRO is purpose and performance-driven. We foster an inclusive culture where teamwork, a forward-thinking attitude, and integrity are at the core of everything we do. This creates an environment where employees thrive, grow, and are empowered to learn and contribute their best.
Joining CIRO means becoming part of a dynamic and transparent organization that values accountability and is committed to maintaining the highest standards of regulatory oversight in the financial industry.
Our Commitment
CIRO is an equal opportunity employer and is committed to providing employment accommodation in accordance with the Ontario Human Rights Code and the Accessibility for Ontarians with Disabilities Act, 2005 (AODA). CIRO will provide accommodation to job applicants with disabilities throughout the recruitment process. Should you require accommodation, please contact Human Resources.
CIRO is a pan-Canadian organization that oversees all investment dealers and trading activity in marketplaces across Canada. This position requires the ability to communicate with employees in CIRO regional offices and other CIRO stakeholders across Canada. Accordingly, proficiency in both official languages of Canada (French and English) is needed. Due to the frequent interactions with internal and external English-speaking members, clients, representatives, firms, Canadian provincial and territorial securities regulators, and employees situated outside of Quebec, the position requires a fully bilingual candidate.
We are committed to creating an inclusive and barrier-free recruitment and selection process across Canada. We welcome applications from all qualified individuals and are dedicated to providing accommodations upon request for candidates participating in all aspects of the recruitment process, in accordance with applicable human rights and accessibility legislation.
Our Recruitment Process
This posting reflects an active vacancy on our team
We use automated (AI) tools to assist with candidate sourcing and communications. Applications are reviewed by our hiring team and hiring decisions are made by people.
This role has a hiring range of $178,500 - $220,500 with the placement and offered salary being based on knowledge, skills, education/training and experience, as well as external market conditions and internal equity.
While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted. #hiring
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