Position Title: Compliance Officer
Department: Business Conduct Compliance
Region: Toronto
Status: Permanent Full-time (Hybrid)
Day in the life of:
CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces.
CIRO is carrying on the regulatory functions of the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada, and is committed to the protection of investors, providing efficient and consistent regulation, and building Canadians’ trust in financial regulation and the people managing their investments.
As a Compliance Officer, you will be responsible for conducting examinations of Member firms to assess compliance with the CIRO’s by-laws, rules and policies.
Core Responsibilities:
- Testing compliance with regulatory requirements in accordance with the examination program.
- Conducting interviews with supervisory staff and representatives at Member firms.
- Documenting a working paper file, including the testing performed and the supporting evidence obtained.
- Preparing reports that document any identified deficiencies and working with Member firms to establish required actions to resolve the deficiencies.
- Reviewing new Member applications and performing examinations of new applicants to determine compliance with CIRO requirements.
Skills and Competencies:
Must-Haves
- 2-3 years in a compliance, regulatory or audit function.
- A university degree in business or accounting.
- Solid knowledge of mutual fund industry and audit requirements.
- Ability to travel extensively in the GTA and some travel required within Canada.
Nice-to-Have
- Completion of the Canadian Securities Course, Branch Managers Course and/or the Partners, Directors and Senior Officers (PDO) Course considered 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
- MLOA/PLOA top up Paid continuous learning and continuing development as well as designation.
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.
While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted.
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