Financial & Operations Examiner

2 weeks ago

Montreal, Canada Canadian Investment Regulatory Organization Full time
Description

Position Title: Financial and Operations Compliance Examiner (ID)

Department:Financial and Operations Compliance

Location: Montreal

Status:Permanent Full-time (Hybrid)

The Examineris 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.

Key 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

Education and Experience:

  • Combined 2-3 years’ experiencein 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
  • Completion of the Canadian Securities Course, an asset

Key Skills and Competencies:

  • 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 CanadianAuditing Standards andInternational 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

CIRO is a pan-Canadian organization that oversees all investment dealers and trading activity in marketplaces across Canada. This position requires the ability to communicate with employees in CIRO regional offices and other CIRO stakeholders across Canada. Accordingly, proficiency in both official languages of Canada (French and English) is needed. Due to the frequent interactions with internal and external English-speaking members, clients, representatives, firms, Canadian provincial and territorial securities regulators, and employees situated outside of Quebec, the position requires a fully bilingual candidate.

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.

#J-18808-Ljbffr

  • Senior Complinace Financial Analyst

    Found in: Appcast CA A2 P - 1 week ago

    Montreal, Canada Vaco Full time

    Our Client:Our client, a prominent leader in the financial regulatory industry, is seeking a Senior Compliance Officer. This position is essential for maintaining the integrity and accuracy of financial reporting within the regulatory framework.Company CultureOur client is dedicated to fostering a supportive and collaborative environment where employees are...

  • Senior Complinace Financial Analyst

    Found in: Appcast CA C2 Glassdoor - 1 week ago

    Montreal, Canada Vaco Full time

    Our Client:Our client, a prominent leader in the financial regulatory industry, is seeking a Senior Compliance Officer. This position is essential for maintaining the integrity and accuracy of financial reporting within the regulatory framework.Company CultureOur client is dedicated to fostering a supportive and collaborative environment where employees are...

  • Senior Complinace Financial Analyst

    Found in: Whatjobs CA C2 - 1 week ago

    Montreal, Canada Vaco Full time

    Our Client: Our client, a prominent leader in the financial regulatory industry, is seeking a Senior Compliance Officer . This position is essential for maintaining the integrity and accuracy of financial reporting within the regulatory framework.Company CultureOur client is dedicated to fostering a supportive and collaborative environment where employees...

  • Financial Controller

    Found in: Talent CA C2 - 5 days ago

    Montreal, Canada SSENSE Full time

    Company Description SSENSE is a global technology platform operating at the intersection of culture, community, and commerce. Headquartered in Montreal, it features a mix of established and emerging luxury brands across womenswear, menswear, kidswear, and Everything Else™. SSENSE has garnered critical acclaim as both an e-commerce engine and a...

  • Senior Complinace Financial Analyst

    Found in: Adzuna CA C2 - 7 days ago

    Montreal, Quebec, Québec, Canada Vaco Full time

    Our Client:Our client, a prominent leader in the financial regulatory industry, is seeking a Senior Compliance Officer. This position is essential for maintaining the integrity and accuracy of financial reporting within the regulatory framework.Company CultureOur client is dedicated to fostering a supportive and collaborative environment where employees are...

  • Financial Controller

    Found in: Talent CA C2 - 3 days ago

    Montreal, Canada SSENSE Full time

    Company Description SSENSE is a global technology platform operating at the intersection of culture, community, and commerce. Headquartered in Montreal, it features a mix of established and emerging luxury brands across womenswear, menswear, kidswear, and Everything Else™. SSENSE has garnered critical acclaim as both an e-commerce engine and a...

  • Financial Analyst, Operations

    Found in: Whatjobs CA C2 - 2 weeks ago

    Montreal, Canada Blinds To Go Full time

    (English to follow) ANALYSTE FINANCIER – OPÉRATIONS & PRODUCTION L'analyste financier dans le secteur manufacturier est un membre de l'équipe de production directement responsable d'aider la compagnie à atteindre ses objectifs financiers dans le cadre de l'opération de production. Il/elle doit être un(e) analyste financier polyvalent(e) et...

  • Financial Analyst, Operations

    Found in: Talent CA 2A C2 - 3 days ago

    Montreal, Canada Blinds To Go Full time

    (English to follow)ANALYSTE FINANCIER – OPÉRATIONS & PRODUCTION L'analyste financier dans le secteur manufacturier est un membre de l'équipe de production directement responsable d'aider la compagnie à atteindre ses objectifs financiers dans le cadre de l'opération de production. Il/elle doit être un(e) analyste financier polyvalent(e) et pratique,...

  • Financial Analyst, Operations

    Found in: Appcast CA C2 Glassdoor - 2 weeks ago

    Montreal, Canada Blinds To Go Full time

    (English to follow)ANALYSTE FINANCIER – OPÉRATIONS & PRODUCTION L'analyste financier dans le secteur manufacturier est un membre de l'équipe de production directement responsable d'aider la compagnie à atteindre ses objectifs financiers dans le cadre de l'opération de production. Il/elle doit être un(e) analyste financier polyvalent(e) et pratique,...

  • Financial Analyst, Operations

    Found in: Appcast CA A2 P - 2 weeks ago

    Montreal, Canada Blinds To Go Full time

    (English to follow)ANALYSTE FINANCIER – OPÉRATIONS & PRODUCTION L'analyste financier dans le secteur manufacturier est un membre de l'équipe de production directement responsable d'aider la compagnie à atteindre ses objectifs financiers dans le cadre de l'opération de production. Il/elle doit être un(e) analyste financier polyvalent(e) et pratique,...

  • Financial Analyst, Operations

    Found in: Adzuna CA C2 - 2 weeks ago

    Montreal, Quebec, Québec, Canada Blinds To Go Full time

    (English to follow)ANALYSTE FINANCIER – OPÉRATIONS & PRODUCTION L'analyste financier dans le secteur manufacturier est un membre de l'équipe de production directement responsable d'aider la compagnie à atteindre ses objectifs financiers dans le cadre de l'opération de production. Il/elle doit être un(e) analyste financier polyvalent(e)...

  • Financial Services Consultant, Insurance Rollover, Client Services Centre

    2 weeks ago

    Montreal, Canada Sun Life Financial Full time

    Financial Services Consultant, Insurance Rollover, Client Services Centre page is loaded Financial Services Consultant, Insurance Rollover, Client Services Centre Apply locations Montreal, Quebec time type Full time posted on Posted 3 Days Ago job requisition id JR00088492 You are as unique as your...

  • Financial Services Consultant, Insurance Rollover, Client Services Centre

    2 weeks ago

    Montreal, Canada Sun Life Financial Full time

    Financial Services Consultant, Insurance Rollover, Client Services Centre page is loaded Financial Services Consultant, Insurance Rollover, Client Services Centre Apply locations Montreal, Quebec time type Full time posted on Posted 3 Days Ago job requisition id JR00088492 You are as unique as your...

  • Financial Services Consultant, Insurance Rollover, Client Services Centre

    2 weeks ago

    Montreal, Canada Sun Life Financial Full time

    Financial Services Consultant, Insurance Rollover, Client Services Centre page is loaded Financial Services Consultant, Insurance Rollover, Client Services Centre Apply locations Montreal, Quebec time type Full time posted on Posted 3 Days Ago job requisition id JR00088492 You are as unique as your...

  • Analyste financier

    Found in: Talent CA C2 - 2 weeks ago

    Montreal, Canada Randstad Canada Full time

    Poste: Analsyte financierEmplacement: MontréalSalaire: 75K à 90K (selon l'expérience)Nous recherchons actuellement un analyste financier passionné et dynamique pour rejoindre notre équipe de gestion corporative d'un groupe d'hotels à Montréal. En tant que bras droit du contrôleur, vous jouerez un rôle essentiel dans le suivi comptable et...

  • Analyste Financier

    Found in: Talent CA C2 - 2 weeks ago

    Montreal, Canada Randstad Canada Full time

    Êtes-vous un Analyste Financier expérimenté à la recherche d'une opportunité de carrière excitante à la hauteur de vos ambitions?Souhaitez-vous rejoindre une multinationale avec plusieurs projets d'envergure au cours des prochaines années?Alors je vous invite à postuler sur mon rôle!Titre du poste: Analyste Financier - Partenaire...

  • Directeur(trice) de succursale

    Found in: Talent CA C2 - 4 days ago

    Montreal, Canada IA Financial Group Full time

    Description Valeurs mobilières, Conformité/Permanent/Hybride/Québec ou Montréal À titre de Directeur(trice) de succursale en valeurs mobilières, vous serez responsable d'un certain nombre d'emplacements de succursales et de sous-branches dans un territoire géographique spécifique. Votre responsabilité principale sera de fournir la...

  • Analyste Financier sénior

    Found in: beBee jobs CA - 2 weeks ago

    Montreal, Quebec, Canada Artemis Full time

    Analyste financier sénior Artemis recrutement est actuellement à la recherche d'un(e) analyste financier sénior pour l'un de ses clients œuvrant dans le domaine de la distribution dans l'Est de l'Île de Montréal. Étant présentement en forte croissance, l'équipe souhaite ajouter une personne dynamique, proactive, innovatrice et qui ne craint pas de...

  • Senior Analyst, FP&A

    Found in: Talent CA C2 - 4 days ago

    Montreal, Canada Gildan Full time

    Senior Analyst, FP&A & Financial Operations (JO-3044-ENG) Montreal, QC, CA Finance & Accounting Posted on 2024-04-29 Full-Time Add to Saved Jobs Remove from Saved Jobs The opportunity The Senior Analyst will be primarily responsible for supporting the Senior Manager, Financial Operations in the reporting and analytical aspects of standing...

  • Analyste Financier sénior

    Found in: beBee S CA - 3 weeks ago

    Montreal, Canada Artemis Full time

    Analyste financier sénior Artemis recrutement est actuellement à la recherche d'un(e) analyste financier sénior pour l'un de ses clients œuvrant dans le domaine de la distribution dans l'Est de l'Île de Montréal. Étant présentement en forte croissance, l'équipe souhaite ajouter une personne dynamique, proactive, innovatrice et qui ne craint pas de...