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Regulatory Compliance Specialist

3 months ago

Old Toronto, Ontario, Canada CIRO Full time

Position Title: Compliance Officer (MFD)

Department: Business Conduct Compliance

Region: Toronto

Status: Permanent Full-time (Hybrid)

CIRO serves as the national self-regulatory body overseeing all investment dealers, mutual fund dealers, and trading activities within Canada's debt and equity markets.

CIRO is tasked with the regulatory responsibilities of the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada, dedicated to safeguarding investors, ensuring efficient and uniform regulation, and fostering trust in financial governance and the professionals managing investments.

As a Compliance Officer, your role will involve performing examinations of Member firms to evaluate adherence to CIRO's by-laws, regulations, and policies.

Key Responsibilities:

  • Assessing compliance with regulatory standards in line with the examination framework.
  • Conducting interviews with supervisory personnel and representatives at Member firms.
  • Documenting a comprehensive working paper file, including the assessments conducted and the corroborating evidence collected.
  • Generating reports that outline any identified shortcomings and collaborating with Member firms to implement necessary corrective actions.
  • Evaluating new Member applications and conducting assessments of new applicants to ensure compliance with CIRO standards.

Education and Experience:

  • 2-3 years of experience in a compliance, regulatory, or auditing capacity.
  • 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 is considered advantageous.

Key Skills and Competencies:

  • Strong understanding of the mutual fund sector and auditing requirements.
  • Willingness to travel extensively within the Greater Toronto Area and occasional travel across Canada.

While applications are appreciated, only candidates who closely align with the position requirements will be contacted.

CIRO is committed to inclusive and accessible employment practices. Accommodations for individuals with disabilities are available. Should you require accommodation, please reach out to Human Resources.

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