Manager, Financial

2 weeks ago

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

**Position Title**:Manager, Financial & Operations Compliance**

**Department: Financial and Operations Compliance**

**Region: Toronto**

**Status: Permanent Full-time (Hybrid)**

The Manager, Financial & Operations Compliance leads and manages field examinations performed by Financial & Operations Compliance Examiners to ensure that policies, Regulations and By-laws regarding the operations, internal controls and financial viability of member firms have been met.

**Key Responsibilities**:

- Responsible and accountable for managing the “prudential regulatory oversight” of their portfolio of Dealer Member to ensure that the risks to the investing public, provincial securities commissions and CIPF are appropriately mitigated.
- Ensure that regulatory filings from Member Firms are reasonable and filed on a timely basis.
- Ensure the effective and efficient planning and execution of the examination process.
- Initiate timely and appropriate regulatory intervention measures to minimize investor loss by Dealer Member(s) facing financial or operational stress.
- Ensure department objectives are met through the effective management, training and development of department staff.

**Education/Experience**:

- Accounting designation, CPA preferred
- Completion of the CFO Qualifying Examination, Canadian Securities Course, CICA In-Depth Securities Course
- 10 years in a regulatory or securities environment (including brokerage audit) with at least 2 years of supervisory responsibilities

**Key Skills and Competencies**:

- Superior knowledge of IFRS
- Superior knowledge of the Canadian Auditing Standards
- Superior audit skills in preparing and reviewing files prepared by others
- Excellent understanding of how to document business processes, identify related internal controls, and develop appropriate compliance tests
- Ability to review examination files to ensure that the scope and extent of the examination adequately addresses the minimum regulatory requirements and identified potential risks
- Strong ability to identify material problems through the review of examination working papers and files
- Ability to communicate, both orally and in writing, in a clear, concise, complete, courteous, and logical manner on complex matters in a fashion that Members will be able to understand and respond
- Strong working knowledge of Enterprise Risk Management frameworks and practices at regulated financial institutions
- Ability to clearly and succinctly explain and interpret complex deviations, deficiencies, and non-compliance
- Strong working knowledge of prudential rules, including systems of books and records, internal controls and regulatory reporting infrastructures
- Strong working knowledge of cybersecurity risks and technology risks

New SRO 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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