Senior Business Conduct Compliance Examiner

Position Title: Senior Business Conduct Compliance Examiner (ID)

Department: Business Conduct Compliance

Location: Toronto

Status: Permanent, Full-time (Hybrid) 

Day in the life of:

As a self-regulatory organization, Canadian Investment Regulatory Organization (CIRO) takes our responsibility of setting high-quality regulatory and investment industry standards seriously, while protecting investors and supporting healthy capital markets in Canada.

In Business Conduct Compliance (BCC) we take great pride in what we do. By joining our dynamic and collaborative team of industry professionals, you will have the opportunity through the examination process to make a difference for investors and the capital markets.

As a key member of the team, the Senior Business Conduct Compliance Examiner conducts field reviews of sales and business conduct compliance activities of Dealer Member head office and business locations. You will interpret and apply Dealer Member Rules to the evolving business models of firms. 

Core Responsibilities:

• Oversee work of team members and assigned examination modules
• Ensure successful completion of fieldwork within agreed budgeted hours and timeline
• Train BCC Examiners by instructing them in the field on examination procedures, closely supervising their work and providing assessments of their progress to BCC Managers
• Gather information to assess a Dealer Member’s business activities to determine the scope of the review and the areas of principal risk
• Assess the risk of assigned examination areas and follow procedures to ensure that examination objectives are achieved and conclusions are adequately addressed and supported
• Interact with senior management, supervisory and compliance staff of a Dealer Member in order to evaluate the effectiveness of the firm’s controls
• Draft examination findings and prepare the examination report that is written in plain language, for Manager review
• Actively contribute to team discussion, openly sharing experiences and ideas to improve examination practices and departmental goals

Skills and Competencies:

• Undergraduate degree
• The following courses are required: Canadian Securities Course, and the Conduct and Practices Handbook for Securities Industry Professionals
• The following courses are an asset: Derivatives Fundamental Course, Investment Dealer Supervisors Course and Chief Compliance Officers Qualifying Exam (CCO) course
• Total of 4 years in a compliance, audit or supervisory function with a Dealer Member, or 4 years other related employment with a securities regulatory or self-regulatory organization
• Comprehensive knowledge of the securities industry, CIRO Rules, Dealer Members and their activities
• Knowledge and interest in crypto currencies and crypto trading platforms
• Ability to quickly understand the risks associated with new business lines or products and to formulate practical examination procedures to address them
• Effective written and oral communication skills
• Attention to detail and ability to exercise sound judgement
• Professional presentation and manner
• Ability to work independently in a team-oriented environment
• Ability to multi-task, adhered to timelines and work under pressure in different environments
• Interest in ongoing learning and professional development in a compliance capacity
• Motivated to make a difference
• Ability to travel

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. Our mission is to serve Canadians by overseeing investment and mutual fund dealers as well as trading activity on Canada’s marketplaces to ensure safe and equitable trading and investments. As regulators, we understand that we are all investors, and 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. 

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

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