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Compliance Officer

1 month ago

Old Toronto, Canada CIRO Full time

Position Title: Compliance Officer (MFD)

Department: Business Conduct Compliance

Region: Toronto

Status: Permanent Full-time (Hybrid)

CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces.

CIRO is carrying on the regulatory functions of the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada, and is committed to the protection of investors, providing efficient and consistent regulation, and building Canadians’ trust in financial regulation and the people managing their investments.

As a Compliance Officer, you will be responsible for conducting examinations of Member firms to assess compliance with the CIRO’s by-laws, rules and policies.

Key Responsibilities:

  • Testing compliance with regulatory requirements in accordance with the examination program.
  • Conducting interviews with supervisory staff and representatives at Member firms.
  • Documenting a working paper file, including the testing performed and the supporting evidence obtained.
  • Preparing reports that document any identified deficiencies and working with Member firms to establish required actions to resolve the deficiencies.
  • Reviewing new Member applications and performing examinations of new applicants to determine compliance with CIRO requirements.

Education and Experience:

  • 2-3 years in a compliance, regulatory or audit function.
  • A university degree in business or accounting.
  • Completion of the Canadian Securities Course, Branch Managers Course and/or the Partners, Directors and Senior Officers (PDO) Course considered an asset.

Key Skills and Competencies:

  • Solid knowledge of mutual fund industry and audit requirements.
  • Ability to travel extensively in the GTA and some travel required within Canada.

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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