Business Conduct Compliance Examiner

4 months ago

Montreal, Canada Canadian Investment Regulatory Organization Full time
Description

Position Title: Business Conduct Compliance Examiner (ID)

Department:Business Conduct Compliance

Location: Montreal

Status:Permanent, Full-time (Hybrid)

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

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

You will contribute to a performance culture, while maintaining a healthy work-life balance, having the ability to participate in the work-from-home program once extensive training has been completed.

Key Responsibilities:

Gather information to assess a Dealer Member’s business activities to determine the scope of the review and the areas of principal risk, in consultation with the lead examiner

Assess the risk of assigned examination areas and follow procedures to ensure that examination objectives are achieved and conclusions are adequately supported

Interact with senior management, supervisory and compliance staff of a Dealer Member to evaluate the effectiveness of the firm’s controls

Draft examination findings in consultation with the lead examiner and assist in the preparation of the examination report that is written in plain language

Actively contribute to team discussion, openly sharing experiences and ideas to improve examination practices and departmental goals

Education/Experience:

The following courses are required: Canadian Securities Course, and Examination based on the Conduct and Practices Handbook for Securities Industry Professionals,

The following courses are an asset: Derivatives Fundamental Course, Branch Managers Course and Chief Compliance Officers Course

Total of 3 years in a compliance, audit or supervisory function with a Dealer Member, or 3 years other related employment with a securities regulatory organization.

Key Skills and Competencies:

Knowledge of securities industry, CIRO Dealer Members and their activities.

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, adhere 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

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

  • Business Conduct Compliance Examiner

    2 weeks ago

    Montreal, Canada CIRO OCRI Full time

    Position Title: Business Conduct Compliance Examiner (ID) Department: Business Conduct Compliance Location: Montreal Status: Permanent, Full-time (Hybrid) As a self-regulatory organization, Canadian Investment Regulatory Organization (CIRO) takes our responsibility of setting high-quality regulatory and investment industry standards seriously, while...

  • Business Conduct Compliance Examiner

    2 weeks ago

    Montreal, Canada CIRO OCRI Full time

    Position Title: Business Conduct Compliance Examiner (ID) Department: Business Conduct Compliance Location: Montreal Status: Permanent, Full-time (Hybrid) As a self-regulatory organization, Canadian Investment Regulatory Organization (CIRO) takes our responsibility of setting high-quality regulatory and investment industry standards seriously, while...

  • Business Conduct Compliance Examiner

    4 weeks ago

    Montreal, Canada Canadian Investment Regulatory Organization Full time

    Description Position Title: Business Conduct Compliance Examiner (ID) Department:Business Conduct Compliance Location: Montreal Status:Permanent, Full-time (Hybrid) As a self-regulatory organization, Canadian Investment Regulatory Organization (CIRO) takes our responsibility of setting high-quality regulatory and investment industry standards seriously,...

  • Compliance Examiner for Business Conduct

    4 weeks ago

    Montreal, Quebec, Canada CIRO OCRI Full time

    Position Title: Compliance Examiner for Business ConductDepartment: Business Conduct ComplianceStatus: Permanent, Full-time (Hybrid)The Canadian Investment Regulatory Organization (CIRO) is dedicated to establishing high standards in regulatory practices and investment industry operations, ensuring investor protection and fostering robust capital markets...

  • Business Conduct Compliance Examiner

    1 month ago

    Montreal, Quebec, G4F, CA Canadian Investment Regulatory Organization Full time

    Description Position Title: Business Conduct Compliance Examiner (ID) Department:Business Conduct Compliance Location: Montreal Status:Permanent, Full-time (Hybrid) As a self-regulatory organization, Canadian Investment Regulatory Organization (CIRO) takes our responsibility of setting high-quality regulatory and investment industry standards seriously,...

  • Business Conduct Compliance Examiner

    1 week ago

    Montreal, Quebec, Canada Canadian Investment Regulatory Organization Full time

    Job DescriptionPosition Title: Business Conduct Compliance ExaminerDepartment: Business Conduct ComplianceJob Type: Permanent, Full-time (Hybrid)About Us:The Canadian Investment Regulatory Organization (CIRO) is a self-regulatory organization that takes its responsibility of setting high-quality regulatory and investment industry standards seriously, while...

  • Business Conduct Compliance Examiner

    1 week ago

    Montreal, Quebec, Canada Canadian Investment Regulatory Organization Full time

    Job DescriptionPosition Title: Business Conduct Compliance ExaminerDepartment: Business Conduct ComplianceJob Type: Permanent, Full-time (Hybrid)About Us:The Canadian Investment Regulatory Organization (CIRO) is a self-regulatory organization that takes its responsibility of setting high-quality regulatory and investment industry standards seriously, while...

  • Business Conduct Compliance Auditor

    4 weeks ago

    Montreal, Quebec, Canada CIRO OCRI Full time

    Position Title: Business Conduct Compliance Auditor (ID)Department: Business Conduct Compliance Permanent, Full-time (Hybrid) As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) is committed to establishing high-quality regulatory standards and investment industry practices, while safeguarding investors and fostering...

  • Compliance Examination Specialist

    4 weeks ago

    Montreal, Quebec, Canada CIRO OCRI Full time

    Position Title: Business Conduct Compliance ExaminerDepartment: Business Conduct ComplianceStatus: Permanent, Full-time (Hybrid)The Canadian Investment Regulatory Organization (CIRO) is dedicated to establishing high standards in regulatory practices and investment industry operations, while safeguarding investors and fostering robust capital markets across...

  • Compliance Examination Specialist

    4 weeks ago

    Montreal, Quebec, Canada CIRO OCRI Full time

    Position Title: Business Conduct Compliance ExaminerDepartment: Business Conduct ComplianceStatus: Permanent, Full-time (Hybrid)The Canadian Investment Regulatory Organization (CIRO) is dedicated to establishing high standards for regulatory practices and investment industry operations, ensuring investor protection and fostering robust capital markets across...

  • Compliance Examination Specialist

    4 weeks ago

    Montreal, Quebec, Canada Canadian Investment Regulatory Organization Full time

    Compliance Examination SpecialistAre you dedicated to upholding exemplary standards of business conduct within the investment sector? The Canadian Investment Regulatory Organization is seeking a Compliance Examination Specialist to enhance our regulatory oversight.Location: MontrealStatus: Permanent, Full-time (Hybrid)As a vital member of our Compliance...

  • Financial Compliance Examiner

    1 week ago

    Montreal, Quebec, Canada CB Canada Full time

    Job SummaryCB Canada is seeking a highly skilled Financial Compliance Examiner to join our team. As a key member of our organization, you will be responsible for conducting complex on-site examinations of member operations, identifying areas of risk, and ensuring compliance with regulatory requirements.Key Responsibilities:Conduct thorough examinations of...

  • Financial Compliance Examiner

    1 week ago

    Montreal, Quebec, Canada CB Canada Full time

    Job SummaryCB Canada is seeking a highly skilled Financial Compliance Examiner to join our team. As a key member of our organization, you will be responsible for conducting complex on-site examinations of member operations, identifying areas of risk, and ensuring compliance with regulatory requirements.Key Responsibilities:Conduct thorough examinations of...

  • Financial Compliance Examiner

    5 days ago

    Montreal, Quebec, Canada CB Canada Full time

    Job SummaryCB Canada is seeking a highly skilled Financial Compliance Examiner to join our team. As a key member of our organization, you will be responsible for conducting complex on-site examinations of member operations, identifying areas of risk, and ensuring compliance with regulatory requirements.Key Responsibilities:Conduct thorough examinations of...

  • Financial Compliance Examiner

    5 days ago

    Montreal, Quebec, Canada CB Canada Full time

    Job SummaryCB Canada is seeking a highly skilled Financial Compliance Examiner to join our team. As a key member of our organization, you will be responsible for conducting complex on-site examinations of member operations, identifying areas of risk, and ensuring compliance with regulatory requirements.Key Responsibilities:Conduct thorough examinations of...

  • Financial Compliance Examiner

    2 weeks ago

    Montreal, Quebec, Canada CB Canada Full time

    Job SummaryCB Canada is seeking a highly skilled Financial Compliance Examiner to join our team. As a key member of our organization, you will be responsible for conducting complex on-site examinations of member operations, identifying and evaluating risks, and ensuring compliance with regulatory requirements.Key Responsibilities:Conduct thorough...

  • Regulatory Compliance Examiner

    4 weeks ago

    Montreal, Quebec, Canada CB Canada Full time

    Classification: Compliance AgentSalary Range: $ to $ per yearAbout the Company: CB Canada is a leading organization dedicated to ensuring compliance and operational integrity within the financial sector.Key Responsibilities: Execute detailed onsite evaluations of the operations of member firms. Perform initial research and data collection for designated...

  • Audit and Compliance Professional

    2 weeks ago

    Montreal, Quebec, Canada CB Canada Full time

    Job SummaryCB Canada is seeking a highly skilled Financial Compliance Examiner to join our team. As a key member of our organization, you will be responsible for conducting complex on-site examinations of member operations, identifying areas of risk, and ensuring compliance with regulatory requirements.Key Responsibilities:Conduct thorough examinations of...

  • Compliance Specialist

    5 days ago

    Montreal, Quebec, Canada MEDLOG Transport & Logistics Full time

    Job Description**Job Title:** Compliance Officer**Job Summary:** We are seeking a detail-oriented and experienced Compliance Officer to support compliance activities at MEDLOG Transport & Logistics.Key Responsibilities:Regulatory Compliance: Monitor and ensure the organization's compliance with applicable laws, regulations, and standards.Regulatory Updates:...

  • Compliance Specialist

    5 days ago

    Montreal, Quebec, Canada MEDLOG Transport & Logistics Full time

    Job Description**Job Title:** Compliance Officer**Job Summary:** We are seeking a detail-oriented and experienced Compliance Officer to support compliance activities at MEDLOG Transport & Logistics.Key Responsibilities:Regulatory Compliance: Monitor and ensure the organization's compliance with applicable laws, regulations, and standards.Regulatory Updates:...