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Senior Financial and Operations Compliance Examiner

4 months ago

Montreal, Canada CIRO OCRI Full time
Senior Financial and Operations Compliance Examiner

Job Category: Professional / Technical

Requisition Number: SENIO002110

Apply now

  • Posted : April 8, 2024
  • Full-Time
Locations

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Description

Position Title:Senior Financial and Operations Compliance Examiner (ID)

Department:Financial and Operations Compliance

Location: Montreal

Status:Permanent Full-time (Hybrid)

The Senior Examiner is 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
  • Supervise examiners in the field to ensure examination procedures are properly conducted within established timeframes.

Education and Experience:

  • Combined 5-7 years’ experience in the accounting field which includes audit experience preferably in a public practice environment
  • Completion of the Canadian Securities Course preferred
  • Completion of the CFO Qualifying Examination preferred
  • Completion of the CICA In-Depth Securities Course preferred
  • Completion of Canadian Securities Institute “Derivatives Course” preferred

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
  • 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.

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