Vice President, Registration

2 months ago

Old Toronto, Canada Canadian Investment Regulatory Organization Full time

Position Title: Vice President, Registration

Department: Registration

Location: Toronto

Status: Permanent, Full Time (Hybrid)

Reporting to the SVP, Enforcement and Registration, this position is responsible for providing leadership and oversight of CIRO’s registration function. The VP will have direct oversight of CIRO’s registration team located in Toronto and will also ensure that the registration activities under their responsibility are conducted in a consistent and timely manner across all CIRO offices, working closely with each of the Regional Directors. In partnership with the VP, Proficiency, the position will provide strategic leadership for the department to ensure the effective coordination between the registration and proficiency functions.

Key Responsibilities:

  • Oversee and manage the national Registration program to ensure consistent approach to registration matters including:
  • Individual approval and registration (where applicable) applications
  • Proficiency exemptions
  • Material Notices
  • Registration hearings and review
  • Provide direct oversight of the Toronto Registration team.
  • Provide expertise, advice, and direction on novel or complex registration matters, as required.
  • Act as an internal decision maker for registration matters, as required.
  • Collaborate with Membership Intake on Membership transactions.
  • Lead the development of registration-related rule and policy concept proposals, as required.
  • Set a dynamic culture that is open to change, seeking opportunities for continuous improvement.
  • Review and assess the department’s policies, procedures, and performance benchmarks to ensure their ongoing adequacy and effectiveness.
  • Oversee data reporting to the CSA members and other regulators under MOUs.
  • Develop and deliver staff training, as required.
  • In collaboration with VP, Proficiency, develop and execute on strategic plans, priorities and projects that align with CIRO priorities.
  • Maintain and develop effective working relationships with key internal and external stakeholders, including staff from the provincial securities commissions, CIRO advisory committees, and CIRO Regional Councils.

Education and Experience:

  • University degree. Business and/or Law Degree considered an asset.
  • Minimum of 5 years of senior management experience.
  • A regulatory background and/or experience as a Chief Compliance officer, senior compliance officer or a senior supervisor in the investment industry considered an asset.

Key Skills and Competencies:

  • Demonstrated leadership and proven ability to manage a large and national team.
  • Advanced knowledge of relevant securities legislation and CIRO regulatory requirements, particularly those relating to registration.
  • Advanced knowledge of the securities industry, including operations, retail sales and compliance.
  • Strong analytical skills and ability to think strategically.
  • A proven ability to work productively and collaboratively with colleagues and various stakeholders.

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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