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Senior Vice President of Registration

2 months ago

Toronto, Ontario, Canada Canadian Investment Regulatory Organization Full time

Position Title: Senior Vice President of Registration

Department: Registration

Location: Toronto

Status: Permanent, Full Time (Hybrid)

Reporting to the Senior Vice President of Enforcement and Registration, this role is pivotal in providing strategic leadership and oversight for the Canadian Investment Regulatory Organization's (CIRO) registration operations. The Senior Vice President will directly manage the registration team based in Toronto and ensure that all registration activities are executed consistently and efficiently across CIRO's various offices, collaborating closely with Regional Directors.

In conjunction with the Vice President of Proficiency, this position will play a critical role in fostering effective collaboration between the registration and proficiency departments.

Key Responsibilities:

  • Direct and oversee the national Registration program to maintain a uniform approach to registration issues, including:
  • Processing individual approval and registration applications
  • Managing proficiency exemptions
  • Handling Material Notices
  • Conducting registration hearings and reviews
  • Supervising the Toronto Registration team
  • Providing expert guidance on complex registration issues as necessary
  • Acting as an internal decision-maker for registration-related matters
  • Collaborating with Membership Intake on membership transactions
  • Leading the development of registration-related policy proposals
  • Promoting a culture of adaptability and continuous improvement
  • Evaluating departmental policies, procedures, and performance metrics for ongoing effectiveness
  • Overseeing data reporting to CSA members and other regulatory bodies
  • Designing and delivering training for staff as needed
  • Working with the Vice President of Proficiency to create and implement strategic plans that align with CIRO's objectives
  • Building and maintaining effective relationships with key internal and external stakeholders, including provincial securities commissions and advisory committees.

Education and Experience:

  • A university degree; a Business or Law degree is considered an asset
  • At least 5 years of senior management experience
  • A background in regulation or experience as a Chief Compliance Officer or senior compliance officer in the investment sector is advantageous

Key Skills and Competencies:

  • Proven leadership capabilities with experience managing a large national team
  • In-depth knowledge of relevant securities legislation and CIRO regulatory standards, particularly regarding registration
  • Comprehensive understanding of the securities industry, including operations, retail sales, and compliance
  • Strong analytical abilities and strategic thinking skills
  • Demonstrated capacity to work collaboratively with colleagues and diverse stakeholders

CIRO is dedicated to inclusive and accessible employment practices. Accommodations for individuals with disabilities are available upon request.