Business Conduct Compliance Examiner

CIRO / OCRI • Montreal, QC

4d • CA$77,000 - CA$90,000 • Hybrid

About The Position

As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) is 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. In Business Conduct Compliance, 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 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 CIRO Dealer Member Rules to the evolving business models and technology tools of firms. You will contribute to a performance culture, while maintaining a healthy work-life balance, having the ability to participate in the work-from-home program once extensive training has been completed.

Requirements

• Undergraduate degree
• Canadian Securities Course
• Examination based on the Conduct and Practices Handbook for Securities Industry Professionals
• Total of 3 years in a compliance, audit, or business location supervisory function with a Dealer Member, or 3 years other related employment with a securities regulatory or self-regulatory organization.

Nice To Haves

• Effective written and oral communication skills
• Professional presentation and manner
• Self-motivated with an ability to work well in teams
• Ability to multi-task 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
• Derivatives Fundamental Course
• Branch Managers Course
• Chief Compliance Officers Course

Responsibilities

• Conduct preliminary assessments of a Dealer Member head office or business location to determine the scope of the review, the areas of principal risk, and an estimate of the anticipated number of hours required to complete the examination.
• By interacting with senior management of Dealer Members, conduct reviews of their head office or business location.
• Prepare report of deficiencies that is clear, concise, and in good form.
• Ensure files include all relevant material on the planning of the examination, interviews conducted and records reviewed.
• Contribute to the effectiveness of the department in meeting its objectives and long-term goals.

Benefits

• 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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level