Compliance Officer

3 weeks ago

Toronto ON, Canada CIRO OCRI Full time

Position Title: Senior Compliance Officer (MFD)
Department:Business Conduct Compliance
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.
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
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
Ability to quickly understand the risks associated with new business lines or products and to formulate practical examination procedures to address them
Interest in ongoing learning and professional development in a compliance capacity
Accommodations for individuals with disabilities are available.

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