National Financial & Operations Compliance Coordinator

Position Title: National Financial and Operations Compliance Coordinator

Department: Financial and Operations Compliance

Location: Toronto

Status: Permanent Full-Time (Hybrid)

Day in the life of:

The position is accountable for managing the Financial & Operations Compliance databases and for providing administrative support to the Vice President, Director, Managers and Examiners of the Financial & Operations Compliance Department.

Core Responsibilities:

• Manage Financial & Operations Compliance databases to ensure its accuracy and completeness
• Prepare general correspondence, annual, monthly and quarterly reports, presentations and other confidential documents
• Tests system changes to ensure optimal user experience with system changes or updates.
• Administer the TeamMate audit program, prepare analysis and compile statistical reports.
• Work closely with and support the Compliance Modernization Program and technology for new process changes and reporting requirements as needed.
• Compile appropriate information as requested from internal and external contacts, member firms and associations.
• Assist with coordinating the Annual Panel Auditors Seminar.
• Work closely and assist regional FinOps staff when requested, i.e. setting up examination projects on TM+, etc.
• Prepare and distribute correspondence to Member and Audit firms, such as field examination reports and year-end audit related correspondence
• Process member requests for changes to agreements, such as subordinated loan, cross guarantee and mutual fund bare trustee agreements and coordinate management approvals using DocuSign
• Monitor SIRFF MFR monthly filings, early warnings and capital deficiencies.
• Perform support duties for the mutual fund and investment dealer divisions and assist with the alignment of processes between the two divisions

Education/Experience:

• College diploma or equivalent
• At least three (3) years related administrative experience
• Knowledge of Microsoft Office, including Word, Excel and PowerPoint
• Excellent spelling, grammar and writing skills
• Knowledge of French helpful

Key Skills and Competencies:

• Familiarity with the various Divisions and Departments within CIRO as to roles and objectives
• Knowledge of the securities industry and its terminology would be an asset
• Strong computer skills – Microsoft Word, Excel, PowerPoint, SharePoint
• Strong knowledge and ability to navigate SIRF system
• Knowledge of TeamMate Audit Management software
• Strong organizational skills with an ability to proactively seek opportunities to create more effective and efficient administration
• Strong interpersonal and communication skills.
• Works independently with minimal guidance/supervision and takes initiative.
• Excellent spelling, grammar and writing skills.
• Attention to detail, accuracy and consistency in recordkeeping.

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.

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 a regulator, we understand that we are all investors. Therefore, a career with us is a career with purpose, 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. 

While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted. 

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