Membership Intake Manager

2 weeks ago

Toronto, Canada Investment Industry Regulatory Organization of Canada (IIROC) Full time

**Position Title**: **Membership Intake Manager**
**Department: General Counsel’s Office**
**Location: Vancouver, Calgary, Montreal and Toronto**
**Status: Permanent Full-time (Hybrid)**
The Membership Intake Manager is an accountable owner of the membership process. They will work directly with applicants for new membership in IIROC, as well as existing Member firms that request corporate changes and material business transactions (that are in-scope for the department). The Membership Intake Manager will have expertise in Financial and Operations Compliance.

**Key Responsibilities**:

- Direct management of the Senior Membership Intake Examiner, FinOps role and oversight of their assigned functions.
- Provides solid business judgment on the handling of complex and innovative membership issues such as onboarding crypto-asset trading platforms
- Works closely with Member Regulation Policy and/or Market Regulation Policy teams to focus policy development on key issues and align on objectives
- Collaborates with Compliance and Registration teams to consistently deliver on IIROC’s mandate to protect the investor public
- Liaises with other Canadian regulators to coordinate efforts, and with global regulators to exchange information
- Represent Membership Intake effectively in meetings with internal and external stakeholders, which includes senior management, applicants or their counsel, and the CSA jurisdictions.

**Education/Experience**:

- Professional Accounting Designation
- A minimum of 5 years’ experience in the financial sector audit practice of a national accounting firm, enterprise risk management consulting practice, or similar risk management experience at a financial services provider, or related employment experience.
- Successful completion of the Canadian Securities Course
- Successful completion of the CFO Qualifying Exam
- Successful completion of the CICA In-Depth Securities Course
- Previous management experience preferred
- Experience in and strong knowledge of regulatory processes and associated rules

**Key Skills and Competencies**:

- Proficiency in other compliance areas, such as Business Conduct Compliance, Trading Conduct Compliance or and Registration, is considered an asset.
- Strong problem-solving and critical-thinking skills to address complex issues
- Knowledgeable about the various procedures designed to support additions to and amendments to the IIROC Dealer Member Rules
- Knowledge of all departments in terms of functions and mandates in IIROC
- Ability to maintain the highest standard of confidentiality in all matters related to Board materials and sensitive information
- Superior knowledge of Canadian securities laws

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