About Us
As a self-regulatory organization, our mission is to promote healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures. At the Canadian Investment Regulatory Organization (CIRO) (https://www.ciro.ca/about-ciro), we are 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 Financial & Operations Compliance Senior Examiner (Membership Intake) is accountable for analyzing and independently verifying the accuracy and completeness of by submitted information firms within the context of new membership applications and in-scope changes in business. They will work directly with applicants for new membership in CIRO, as well as existing Member firms that request corporate changes and material business transactions (that are in-scope for the department). The Senior Membership Intake Examiner will have expertise in the areas pertaining to Financial and Operations Compliance (FINOPS).
Core Responsibilities:
- Perform subject matter expert review, analysis, and recommendation of assigned new membership applications and change in business submissions from a FINOPS perspective with prescribed timelines, working in consultation with the Membership Intake Manager (FINOPS) and FINOPS, as appropriate.
- Provides solid business judgment on the handling of complex and innovative membership issues such as onboarding crypto-asset trading platforms
- Prepare written plan for analysis of assigned membership applications and changes in business to identify the key areas for review and potential issues that require consultation with Policy, Compliance and other internal or external stakeholders.
- Ensure complete tracking and documentation of their analysis of a membership application or transaction for the purpose of oversight and internal/external reporting.
- Effective verbal and/or written communications to member firms and applicants regarding their membership application or transaction, which includes the effective communication of complex matters in a clear, concise, and complete manner to ensure the Members’ understanding and responsiveness.
- Assist in the maintenance of the written procedures for the FINOPS analysis of membership applications and in-scope change in business submissions for Membership Intake.
- Contribute to process improvement and implementation relative to the application intake and analysis processes
- Complete training, as appropriate and/or assigned, to develop and maintain the appropriate expertise on new business models and products associated with membership applications and transaction submissions.
- Represent Membership Intake effectively in meetings with internal and external stakeholders, which may include senior management, applicants or their counsel, and the CSA jurisdictions.
What You Bring
Must-Haves
Nice-to-Haves
- 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
- Completion of an exam or course that demonstrates competency in the investment industry and role of the CFO such as the Chief Financial Officer Exam or other legacy courses such as the CFO Qualifying Exam
- Successful completion of the CICA In-Depth Securities Course
- Proficiency in other compliance areas, such as Business Conduct Compliance, Trading Conduct Compliance and Registration, is considered 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 $87,500 - $97,000 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
