Lead Compliance Examiner for Business Conduct

1 month ago

Old Toronto, Ontario, Canada CIRO OCRI Full time

Position Title: Lead Compliance Examiner for Business Conduct

Department: Business Conduct Compliance

Status: Permanent Full-time (Hybrid)

The Canadian Investment Regulatory Organization (CIRO) is dedicated to establishing high standards in regulatory practices and investment industry operations, with a focus on safeguarding investors and fostering robust capital markets across Canada.

In the realm of Business Conduct Compliance (BCC), we take immense pride in our contributions. As a pivotal member of our proactive and collaborative team of industry experts, you will play a crucial role in the examination process, positively impacting investors and the capital markets.

As a senior member of the team, the Lead Compliance Examiner for Business Conduct is responsible for conducting thorough reviews of sales and compliance practices at Dealer Member head offices and business locations. You will interpret and apply Dealer Member Rules to adapt to the evolving business models of firms.

Key Responsibilities:

  • Supervise the work of team members and manage assigned examination modules
  • Ensure the effective completion of fieldwork within the established budget and timeline
  • Provide training to BCC Examiners by guiding them in the field on examination methodologies, closely monitoring their performance, and offering feedback to BCC Managers
  • Collect information to evaluate a Dealer Member's business activities, determining the scope of the review and identifying principal risk areas
  • Evaluate the risk associated with assigned examination areas and adhere to procedures to ensure examination objectives are met and conclusions are thoroughly supported
  • Engage with senior management, supervisory, and compliance personnel of a Dealer Member to assess the effectiveness of the firm's internal controls
  • Draft examination findings and prepare comprehensive reports in clear language for managerial review
  • Actively participate in team discussions, sharing insights and experiences to enhance examination practices and departmental objectives


Education and Experience:

  • Undergraduate degree
  • Completion of the following courses is mandatory: Canadian Securities Course, and the Conduct and Practices Handbook for Securities Industry Professionals
  • The following courses are beneficial: Derivatives Fundamental Course, Investment Dealer Supervisors Course, and Chief Compliance Officers Qualifying Exam (CCO) course
  • A minimum of 4 years in a compliance, audit, or supervisory role with a Dealer Member, or 4 years of relevant experience with a securities regulatory or self-regulatory organization


Key Skills and Competencies:

  • In-depth knowledge of the securities industry, CIRO Rules, Dealer Members, and their operations
  • Familiarity with cryptocurrencies and crypto trading platforms
  • Ability to swiftly assess risks associated with new business lines or products and develop practical examination procedures to address them
  • Strong written and verbal communication skills
  • Meticulous attention to detail and sound judgment
  • Professional demeanor and presentation
  • Capacity to work independently within a collaborative environment
  • Ability to manage multiple tasks, adhere to deadlines, and perform under pressure in various settings
  • Commitment to continuous learning and professional growth in a compliance role
  • Motivated to contribute positively
  • Willingness to travel as required

While we appreciate all applications, only those candidates who closely match the position requirements will be contacted.

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

#LI-HYBRID

  • Senior Business Conduct Compliance Specialist

    3 days ago

    Toronto, Ontario, Canada the Ladders Full time

    Senior Business Conduct Compliance ExaminerAt the Ladders, we are seeking a highly skilled Senior Business Conduct Compliance Examiner to join our team in Toronto. As a self-regulatory organization, we take our responsibility to maintain the highest standards of compliance and ethics very seriously.Key Responsibilities:Develop and implement compliance...

  • Senior Business Conduct Compliance Specialist

    4 days ago

    Toronto, Ontario, Canada the Ladders Full time

    Senior Business Conduct Compliance ExaminerAt the Ladders, we are seeking a highly skilled Senior Business Conduct Compliance Examiner to join our team in Toronto. As a self-regulatory organization, we take our responsibility to maintain the highest standards of compliance and ethics very seriously.Key Responsibilities:Develop and implement compliance...

  • Senior Compliance Business Oversight Specialist

    2 weeks ago

    Old Toronto, Ontario, Canada TD Bank Full time

    Job DescriptionJob Title: Senior Compliance Business Oversight AnalystJob Summary:We are seeking a highly skilled Senior Compliance Business Oversight Analyst to join our team at TD Bank. As a key member of our Compliance team, you will be responsible for providing expert-level guidance and oversight to ensure that our business operations are in compliance...

  • Senior Compliance Business Oversight Specialist

    2 weeks ago

    Old Toronto, Ontario, Canada TD Bank Full time

    Job DescriptionJob Title: Senior Compliance Business Oversight AnalystJob Summary:We are seeking a highly skilled Senior Compliance Business Oversight Analyst to join our team at TD Bank. As a key member of our Compliance team, you will be responsible for providing expert-level guidance and oversight to ensure that our business operations are in compliance...

  • Compliance Manager

    2 weeks ago

    Old Toronto, Ontario, Canada Corpay Full time

    Job DescriptionCorpay is seeking a highly skilled Senior Compliance Analyst to join our Legal Compliance division. This role will be responsible for assisting with policy development, offering advisory services, leading employee training, and assisting with external audits and examinations.Key ResponsibilitiesPolicy Management and GovernanceDevelop and...

  • Senior Compliance Business Oversight Analyst

    2 weeks ago

    Old Toronto, Ontario, Canada TD Full time

    Job SummaryWe are seeking a highly skilled and experienced Senior Compliance Business Oversight Analyst to join our team at TD Bank Group. As a key member of our Canadian Banking Compliance team, you will play a critical role in overseeing Regulatory Compliance in accordance with the Enterprise Regulatory Compliance Management Framework.Key...

  • Senior Compliance Business Oversight Analyst

    2 weeks ago

    Old Toronto, Ontario, Canada TD Full time

    Job SummaryWe are seeking a highly skilled Senior Compliance Business Oversight Analyst to join our team at TD Bank Group. As a key member of our Canadian Banking Compliance team, you will play a critical role in overseeing Regulatory Compliance in accordance with the Enterprise Regulatory Compliance Management Framework.Key ResponsibilitiesCoordinate and...

  • Senior Financial Examiner

    2 weeks ago

    Toronto, Ontario, Canada the Ladders Full time

    Job SummaryWe are seeking a highly skilled Senior Financial Examiner to join our team at The Ladders. As a key member of our Financial Compliance department, you will be responsible for conducting thorough financial examinations and reviews to ensure compliance with regulatory requirements.Key ResponsibilitiesConduct financial examinations and reviews to...

  • Senior Financial Examiner

    2 weeks ago

    Toronto, Ontario, Canada the Ladders Full time

    Job SummaryWe are seeking a highly skilled Senior Financial Examiner to join our team at The Ladders. As a key member of our Financial Compliance department, you will be responsible for conducting thorough financial examinations and reviews to ensure compliance with regulatory requirements.Key ResponsibilitiesConduct financial examinations and reviews to...

  • Senior Compliance Specialist

    2 weeks ago

    Old Toronto, Ontario, Canada Corpay Full time

    Job SummaryCorpay is seeking a highly skilled Senior Compliance Analyst to join our Legal Compliance division. This role will be responsible for assisting with policy development, offering advisory services, leading employee training, and assisting with external audits and examinations.Key ResponsibilitiesPolicy Management and GovernanceDevelop and maintain...

  • Code of Conduct Compliance Specialist

    7 days ago

    Toronto, Ontario, Canada beBee Professionals Full time

    {"h1": "Code of Conduct Compliance Officer Role at beBee Professionals", "p": "BeBee Professionals is seeking a highly skilled Code of Conduct Compliance Officer to ensure the company's policies and procedures align with applicable laws and regulations. The ideal candidate will have a strong understanding of the legal and regulatory environment, as well as...

  • Code of Conduct Compliance Specialist

    7 days ago

    Toronto, Ontario, Canada beBee Professionals Full time

    {"h1": "Code of Conduct Compliance Officer Role at beBee Professionals", "p": "BeBee Professionals is seeking a highly skilled Code of Conduct Compliance Officer to ensure the company's policies and procedures align with applicable laws and regulations. The ideal candidate will have a strong understanding of the legal and regulatory environment, as well as...

  • Counsel (Manager), Generalist & Brand Rights Protection - Canada

    2 weeks ago

    Old Toronto, Ontario, Canada Conduct Detrimental LLC. Full time

    Job SummaryAs a Senior Counsel, Generalist & Brand Rights Protection at Conduct Detrimental LLC, you will play a critical role in providing legal advice and guidance on a wide range of commercial and event-related issues.Key ResponsibilitiesProvide legal advice and guidance on contracts, compliance, intellectual property, regulatory issues, and access to...

  • Regulatory Compliance Specialist

    1 month ago

    Old Toronto, Ontario, Canada CIRO Full time

    Position Title: Compliance Officer (MFD)Department: Business Conduct ComplianceRegion: TorontoStatus: 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...

  • Regulatory Compliance Specialist

    1 month ago

    Old Toronto, Ontario, Canada CIRO Full time

    Position Title: Compliance Officer (MFD)Department: Business Conduct ComplianceRegion: TorontoStatus: Permanent Full-time (Hybrid)CIRO serves as the national self-regulatory authority overseeing all investment dealers, mutual fund dealers, and trading activities within Canada's debt and equity markets.CIRO is responsible for the regulatory functions...

  • Cyber Compliance Lead

    2 days ago

    Old Toronto, Ontario, Canada Thomson Reuters Full time

    Lead Cyber Compliance, Policy & Audit GeneralistThomson Reuters is seeking a highly skilled professional to lead our Cyber Compliance team as part of the ISRM function in Toronto.About the RoleIn this opportunity, you will:Develop and implement a comprehensive cyber security compliance program, ensuring alignment with relevant policies, standards, and...

  • Cyber Compliance Lead

    2 days ago

    Old Toronto, Ontario, Canada Thomson Reuters Full time

    Lead Cyber Compliance, Policy & Audit GeneralistThomson Reuters is seeking a highly skilled professional to lead our Cyber Compliance team as part of the ISRM function in Toronto.About the RoleIn this opportunity, you will:Develop and implement a comprehensive cyber security compliance program, ensuring alignment with relevant policies, standards, and...

  • Senior Compliance Officer

    2 weeks ago

    Old Toronto, Ontario, Canada Corpay Full time

    About the RoleWe are seeking a highly skilled Senior Compliance Analyst to join our Legal Compliance division at Corpay. This is a key role that will play a pivotal part in supporting the company's growth by ensuring operational compliance, mitigating risks, and fostering a culture of continuous improvement.Key ResponsibilitiesPolicy Development and...

  • Senior Compliance Officer

    2 weeks ago

    Old Toronto, Ontario, Canada Corpay Full time

    About the RoleWe are seeking a highly skilled Senior Compliance Analyst to join our Legal Compliance division at Corpay. This is a key role that will play a pivotal part in supporting the company's growth by ensuring operational compliance, mitigating risks, and fostering a culture of continuous improvement.Key ResponsibilitiesPolicy Development and...

  • Compliance Specialist, Canadian Market Conduct

    4 hours ago

    Toronto, Ontario, Canada Foresters Financial Full time

    Job SummaryWe are seeking a highly skilled Compliance Analyst to join our team at Foresters Financial. As a Compliance Analyst, you will play a critical role in ensuring that our business operations comply with regulatory requirements and industry standards.Key ResponsibilitiesMarket Conduct and Sales ReviewsCollect and review documentation related to market...