Regulatory Compliance Specialist

4 weeks 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 financial markets.

CIRO carries out the regulatory responsibilities of the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada, dedicated to safeguarding investors, ensuring effective and uniform regulation, and fostering trust in financial oversight and investment management.

As a Compliance Officer, your primary role will involve conducting assessments of Member firms to evaluate adherence to CIRO's regulations, rules, and policies.

Key Responsibilities:

  • Evaluating compliance with regulatory standards as outlined in the examination framework.
  • Engaging in discussions with supervisory personnel and representatives at Member firms.
  • Creating a comprehensive working paper file that includes testing activities and supporting documentation.
  • Drafting reports that highlight any identified compliance gaps and collaborating with Member firms to implement necessary corrective actions.
  • Assessing new Member applications and performing evaluations of new candidates to ensure compliance with CIRO standards.

Education and Experience:

  • 2-3 years of experience in compliance, regulatory oversight, or auditing.
  • 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 advantageous.

Key Skills and Competencies:

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

While we value all applications, only those 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. If you require accommodation, please reach out to Human Resources.

#LI-HYBRID #hiring


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