Compliance Officer

4 months ago

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.

**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.

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.

LI-HYBRID #hiring

  • Compliance Officer

    4 weeks ago

    Toronto, Ontario, Canada Investment Industry Regulatory Organization of Canada Full time

    Job Title: Compliance OfficerJoin the Investment Industry Regulatory Organization of Canada (CIRO) team as a Compliance Officer and contribute to maintaining the integrity of Canada's financial markets.About the RoleAs a Compliance Officer, you will be responsible for ensuring that investment dealers, mutual fund dealers, and trading activity on Canada's...

  • Compliance Officer

    4 weeks ago

    Toronto, Ontario, Canada Investment Industry Regulatory Organization of Canada Full time

    Job Title: Compliance OfficerJoin the Investment Industry Regulatory Organization of Canada (CIRO) team as a Compliance Officer and contribute to maintaining the integrity of Canada's financial markets.About the RoleAs a Compliance Officer, you will be responsible for ensuring that investment dealers, mutual fund dealers, and trading activity on Canada's...

  • Compliance Officer

    4 weeks ago

    Toronto, Ontario, Canada destinationone Consulting Full time

    Job Title: Compliance OfficerDestinationone Consulting is seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will be responsible for ensuring that the company and its employees comply with internal policies and external regulations.Key Responsibilities:Develop and implement compliance policies and procedures.Conduct...

  • Compliance Officer

    4 weeks ago

    Toronto, Ontario, Canada destinationone Consulting Full time

    Job Title: Compliance OfficerDestinationone Consulting is seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will be responsible for ensuring that the company and its employees comply with internal policies and external regulations.Key Responsibilities:Develop and implement compliance policies and procedures.Conduct...

  • Compliance Officer

    2 weeks ago

    Toronto, Ontario, Canada destinationone Consulting Full time

    Job Title: Compliance OfficerDestinationone Consulting is seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will play a critical role in ensuring that our company and its employees comply with internal policies and external regulations.Key Responsibilities:Develop and implement compliance policies and procedures to...

  • Compliance Officer

    4 weeks ago

    Toronto, Ontario, Canada Takeda Full time

    Job Title: Compliance OfficerTakeda is seeking a highly skilled Compliance Officer to join our Ethics & Compliance (E&C) Global team. As a Compliance Officer, you will play a critical role in ensuring the effective implementation of our E&C strategy, including policy and SOP implementation, training and communications, risk management, and audit and...

  • Compliance Officer

    4 weeks ago

    Toronto, Ontario, Canada Takeda Full time

    Job Title: Compliance OfficerTakeda is seeking a highly skilled Compliance Officer to join our Ethics & Compliance (E&C) Global team. As a Compliance Officer, you will play a critical role in ensuring the effective implementation of our E&C strategy, including policy and SOP implementation, training and communications, risk management, and audit and...

  • Compliance Officer

    4 months ago

    Toronto, Canada Questrade Financial Group Full time

    Questrade Financial Group (QFG) of Companies is committed to helping our customers become much more financially successful and secure. We are everything a traditional financial institution is not. At QFG, you will be constantly moving forward, bringing the future of fintech into existence. You will be a part of a collaborative team that cares deeply about...

  • Compliance Officer

    4 weeks ago

    Toronto, Ontario, Canada Takeda Full time

    Job Title: Compliance OfficerTakeda is seeking a highly skilled Compliance Officer to join our Ethics & Compliance (E&C) Global team. As a Compliance Officer, you will play a critical role in ensuring the effective implementation of our E&C strategy, including policy and SOP implementation, training and communications, risk management, and audit and...

  • Compliance Officer

    4 weeks ago

    Toronto, Ontario, Canada Takeda Full time

    Job Title: Compliance OfficerTakeda is seeking a highly skilled Compliance Officer to join our Ethics & Compliance (E&C) Global team. As a Compliance Officer, you will play a critical role in ensuring the effective implementation of our E&C strategy, including policy and SOP implementation, training and communications, risk management, and audit and...

  • Compliance Officer

    2 weeks ago

    Toronto, Ontario, Canada destinationone Consulting Full time

    Job Title: Compliance OfficerDestinationone Consulting is seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will be responsible for ensuring that the company and its employees comply with internal policies and external regulations.Key Responsibilities:Develop and implement compliance policies and procedures.Conduct...

  • Compliance Officer

    2 weeks ago

    Toronto, Ontario, Canada destinationone Consulting Full time

    Job Title: Compliance OfficerDestinationone Consulting is seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will be responsible for ensuring that the company and its employees comply with internal policies and external regulations.Key Responsibilities:Develop and implement compliance policies and procedures.Conduct...

  • Compliance Officer

    3 weeks ago

    Toronto, Ontario, Canada Investment Industry Regulatory Organization of Canada Full time

    Job Title: Compliance Officer Job Summary: We are seeking a highly skilled Compliance Officer to join our team at the Investment Industry Regulatory Organization of Canada. As a Compliance Officer, you will play a critical role in ensuring that our organization adheres to regulatory requirements and industry standards. Key Responsibilities: * Develop and...

  • Compliance Officer

    3 weeks ago

    Toronto, Ontario, Canada Investment Industry Regulatory Organization of Canada Full time

    Job Title: Compliance Officer Job Summary: We are seeking a highly skilled Compliance Officer to join our team at the Investment Industry Regulatory Organization of Canada. As a Compliance Officer, you will play a critical role in ensuring that our organization adheres to regulatory requirements and industry standards. Key Responsibilities: * Develop and...

  • Compliance Officer

    4 weeks ago

    Toronto, Ontario, Canada Takeda Full time

    Job Title: Compliance OfficerTakeda is seeking a highly skilled Compliance Officer to join our Ethics & Compliance (E&C) Global team. As a Compliance Officer, you will play a critical role in ensuring the effective implementation of our E&C strategy, including policy and SOP implementation, training and communications, risk management, and audit and...

  • Compliance Officer

    4 weeks ago

    Toronto, Ontario, Canada Takeda Full time

    Job Title: Compliance OfficerTakeda is seeking a highly skilled Compliance Officer to join our Ethics & Compliance (E&C) Global team. As a Compliance Officer, you will play a critical role in ensuring the effective implementation of our E&C strategy, including policy and SOP implementation, training and communications, risk management, and audit and...

  • Compliance Officer

    1 month ago

    Toronto, Ontario, Canada destinationone Consulting Full time

    {"h1": "Compliance Officer Role at Destinationone Consulting", "p": "At destinationone Consulting, we are seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will play a critical role in ensuring that our company and its employees comply with internal policies and external regulations. Your expertise will be essential...

  • Compliance Officer

    1 month ago

    Toronto, Ontario, Canada destinationone Consulting Full time

    {"h1": "Compliance Officer Role at Destinationone Consulting", "p": "At destinationone Consulting, we are seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will play a critical role in ensuring that our company and its employees comply with internal policies and external regulations. Your expertise will be...

  • Compliance Officer

    1 month ago

    Toronto, Ontario, Canada destinationone Consulting Full time

    {"h1": "Compliance Officer Role at Destinationone Consulting", "p": "At destinationone Consulting, we are seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will play a critical role in ensuring that our company and its employees comply with internal policies and external regulations. Your expertise will be...

  • Compliance Officer

    1 month ago

    Toronto, Ontario, Canada destinationone Consulting Full time

    {"h1": "Compliance Officer Role at Destinationone Consulting", "p": "At destinationone Consulting, we are seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will play a critical role in ensuring that our company and its employees comply with internal policies and external regulations. Your expertise will be essential...