Financial & Operations Examiner (12 month contract)

CIRO / OCRI • Montreal, QC

1d • CA$80,000 - CA$100,000 • 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. The Financial and Operations Compliance Examiner is accountable for analyzing and independently verifying the accuracy and completeness of the submitted information by member firms within the context of the regulatory reporting framework.

Requirements

• Chartered Professional Accountant designation
• Combined 2-3 years’ experience in the financial sector audit practice of a national accounting firm and enterprise risk management consulting practice, or similar risk management experience at a large financial institution
• Bilingualism

Nice To Haves

• Completion of the Canadian Securities Course, an asset
• Excellent understanding of how to document business processes, identify related internal controls, and develop appropriate compliance tests
• Solid understanding of the objectives of the examination process
• Strong audit and examination techniques, (interviewing, documentation, development of test plans to identify the scope and extent of required testing)
• Superior knowledge of the Canadian Auditing Standards and International Financial Reporting Standards
• Knowledge of Enterprise Risk Management practices in place at large financial institutions
• Ability to communicate complex matters both orally and in writing, in a clear, concise, complete, courteous, and logical manner to ensure Members’ understanding and responsiveness
• Ability to detect, analyze, and evaluate complex deviations, deficiencies, and non-compliance with IFRS, internal control objectives, rules and policies

Responsibilities

• Perform complex field examinations of the operations of assigned member firms.
• Based on the examination assignment given by the Manager, performs preliminary research and information gathering activities for assigned projects; identify applicable policies and regulations, review prior examination reports and working papers.
• Plan the examination of a Member firm. This includes performing a risk evaluation of the Member and determining the necessary customization to the standard examination procedures and/or scope. The revised program is reviewed by the responsible Manager, and is approved by the Director.
• Review complex financial and/or management procedures to evaluate the adequacy of internal controls.
• Interview staff involved in performing the procedures.
• Develop documentation describing the workflow; identify desired control objectives (based on defined minimum requirements; identify how control objectives are being met; evaluate risk potential, as required.
• Ensure compliance with minimum audit requirements prescribed under CIRO rules and policies.

Benefits

• Competitive base salary in alignment with market
• Performance based bonus
• 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
• Education Level: No Education Listed