Senior Compliance Officer

4 weeks ago

Toronto ON, Canada Canadian Investment Regulatory Organization Full time

40 Temperance Street
Suite 2600
Toronto, ON M5H0B4, CAN

Description

Position Title: Senior Compliance Officer (MFD)

Department:Business Conduct Compliance

Location: Toronto

Status:Permanent Full-time (Hybrid)

As a self-regulatory organization, Canadian Investment Regulatory Organization (CIRO) takes responsibility for setting high-quality regulatory and investment industry standards seriously, while protecting investors and supporting healthy capital markets in Canada.

In Business Conduct Compliance (BCC) 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 Senior Compliance Officer conducts field reviews of sales and business conduct compliance activities of Dealer Member head office and business locations. You will interpret and apply Dealer Member Rules to the evolving business models of firms.

Key Responsibilities:

  • Oversee work of team members and assigned examination modules
  • Ensure successful completion of fieldwork within agreed budgeted hours and timeline
  • Train BCC Examiners by instructing them in the field on examination procedures, closely supervising their work and providing assessments of their progress to BCC Managers
  • Gather information to assess a Dealer Member’s business activities to determine the scope of the review and the areas of principal risk
  • Assess the risk of assigned examination areas and follow procedures to ensure that examination objectives are achieved and conclusions are adequately addressed and supported
  • Interact with senior management, supervisory and compliance staff of a Dealer Member in order to evaluate the effectiveness of the firm’s controls
  • Draft examination findings and prepare the examination report that is written in plain language, for Manager review
  • Actively contribute to team discussion, openly sharing experiences and ideas to improve examination practices and departmental goals

Education and Experience:

  • The following courses are required: Canadian Securities Course, and the Conduct and Practices Handbook for Securities Industry Professionals or Canadian Investment Funds Course
  • The following courses are an asset: Investment Dealer Supervisors Course and Chief Compliance Officers Qualifying Exam (CCO) course, Canadian Compliance Course, Branch Managers’ Examination Course
  • Total of 4 years in a compliance, audit or supervisory function with a Dealer Member, or 4 years other related employment with a securities regulatory or self-regulatory organization

Key Skills and Competencies:

  • Comprehensive knowledge of the securities industry, CIRO Rules, Dealer Members and their activities
  • Knowledge and interest in mutual funds, exchange trades funds, exempt securities
  • Ability to quickly understand the risks associated with new business lines or products and to formulate practical examination procedures to address them
  • Effective written and oral communication skills
  • Attention to detail and ability to exercise sound judgement
  • Professional presentation and manner
  • Ability to work independently in a team-oriented environment
  • Ability to multi-task, adhered to timelines 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

While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted.

CIRO is committed to employment practices that are inclusive and accessible. Accommodations for individuals with disabilities are available. Should you require accommodation, please contact Human Resources.

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