Senior Financial & Operations Examiner

CIRO / OCRI • Toronto, ON

8d • CA$90,000 - 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 Senior Financial & 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 Accountants designation
• 5 years’ experience as an auditor at a Chartered Professional Accounting firm or similar experience with 1-2 years within the securities or regulatory environment

Nice To Haves

• 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.
• 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 generally accepted accounting principles and IFRS, internal control objectives, rules and policies.
• The Canadian Investment Regulatory Exam and the Securities Exam, or any other related courses, are considered assets.

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 Member firms. 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/Director, and is approved by the responsible Vice President.
• 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.
• Supervise Examiners in the field to ensure examination procedures are properly conducted within established timeframes.

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: Senior
• Education Level: No Education Listed