Position Title: Sr Membership Intake Examiner (Business Conduct Compliance)
Department: Office of the Investor, Member Intake, and Innovation
Location: Toronto, Vancouver, Calgary, Montreal
Status: Regular Full-time (Hybrid)
Day in the life of:
The Membership Intake Senior Examiner is accountable for analyzing and independently verifying the accuracy and completeness of Dealer Member applications and transaction requests (“Dealer Member transactions”). They will work directly with firms applying for CIRO membership as well as existing Dealer Members that propose changes to their business and operations. The Membership Intake Senior Examiner will have expertise in the areas pertaining to Business Conduct Compliance (BCC).
Core Responsibilities:
- Perform subject matter expert review, analysis, and recommendation of assigned Dealer Member transactions from an MI-BCC perspective, working in consultation with the relevant stakeholders within MI and within the impacted Compliance teams, as appropriate.
- Perform the role as File Lead for assigned Dealer Member transactions. This entails being the main point of contact for the Dealer Member with respect to the overall transaction. The File Lead is also responsible for driving the file to full completion, ensuring all relevant internal reviews and milestones are completed within the required timelines.
- Ensure complete tracking and documentation of the MI-BCC analysis of a Dealer Member transaction for the purpose of oversight and internal/external reporting.
- Assist in the maintenance of the written procedures for the MI-BCC analysis of Dealer Member transactions.
- Contribute to process improvement in relation to MI’s processing of Dealer Member transactions.
- Effective verbal and/or written communications with Dealer Members and applicants, which includes the effective communication of complex matters in a clear, concise, and complete manner to ensure the Members’ understanding and responsiveness.
- Complete assigned training and continuing education to develop and maintain the appropriate expertise on new business models and products associated with Dealer Member transactions.
- Represent Membership Intake effectively in meetings with internal and external stakeholders, which include the C-suite at Dealer Members and applicants, external counsel for Dealer Members, and CIRO senior management.
Key Skills and Competencies:
Must-Haves
- A minimum of 5 years’ experience in a compliance, audit or supervisory function with a Dealer Member, securities regulator or self-regulatory organization
- Comprehensive understanding of CIRO’s business conduct requirements for Dealer Members.
- Experience in and strong knowledge of regulatory processes and requirements
- Completion of an exam or course that demonstrates competency in the investment industry such as the Canadian Investment Regulatory Exam (CIRE), and/or Retail Securities Exam and/or Institutional Securities Exam, or other legacy courses such as the Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH) Course
- Successful completion of any of the following courses is considered an asset:
- Completion of an exam or course that demonstrates competency in the investment industry and supervision responsibilities such the Supervisor Exam or other legacy courses such as the Investment Dealer Supervisor Exam (IDSC)
- Completion of an exam or course that demonstrates competency in the investment industry and role of executives such as the Director Executive Exam or other legacy courses such as the Partners, Directors and Senior Officers Course (PDO)
- Completion of an exam or course that demonstrates competency in the investment industry and role of the CCO such as the Chief Compliance Officer Exam or other legacy courses such as the Chief Compliance Officers Qualifying Exam (CCO)
- Experience in and strong knowledge of regulatory processes and requirements
- In-depth expertise in Business Conduct Compliance.
- Strong ability to meet tight deadlines, adept at multi-tasking amidst competing priorities, and agile in approach to tasks
- Strong understanding of CIRO Rules and Canadian securities laws
- Ability to detect, analyze, and evaluate complex deviations, deficiencies, and non-compliance with generally accounting principles and IFRS, internal control objectives, rules, and policies
- Strong problem-solving and critical-thinking skills to address complex issues
- Ability to effectively communicate complex matters both orally and in writing
Nice-to-Haves
- French language proficiency is considered an asset
- Proficiency in other compliance areas, such as Financial and Operations Compliance, Trading Conduct Compliance and Registration, is considered an asset
What we offer:
- Competitive base salary in alignment with market
- Performance based bonus *
- 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 *
- Maternity Leave Of Absence/Paternity Leave Of Absence top up *
- Paid continuous learning and continuing development including designations *
- Asterisked offerings are not applicable to contracts
Why the Canadian Investment Regulatory Organization (CIRO):
Our purpose and our impact:
With offices across Canada - from Vancouver to Montreal, our mission is to promote healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures. As regulators, we understand that we are all investors, and therefore a career with us is a purposeful career: protecting our future.
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.
Looking for a career where you can safeguard the integrity of Canadian markets? Join CIRO and be part of the team that secures our financial future.
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 $92,000 - $115,000 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. #LI-HYBRID #hiring
