Compliance Examination Specialist

4 weeks ago

Montreal, Quebec, Canada CIRO OCRI Full time

Position Title: Business Conduct Compliance Examiner

Department: Business Conduct Compliance

Status: Permanent, Full-time (Hybrid)

The Canadian Investment Regulatory Organization (CIRO) is dedicated to establishing high standards for regulatory practices and investment industry operations, ensuring investor protection and fostering robust capital markets across Canada.

In the realm of Business Conduct Compliance, we pride ourselves on our contributions. As a vital member of our proactive and collaborative team, you will play a significant role in the examination process, positively impacting investors and the overall capital market landscape.

The Business Conduct Compliance Examiner is responsible for conducting thorough reviews of sales and compliance activities at Dealer Member head offices and their business locations. You will interpret and apply CIRO Dealer Member Rules to adapt to the evolving business models within the industry.

We promote a performance-driven culture while ensuring a healthy work-life balance, allowing for participation in a work-from-home program after completing comprehensive training.

Key Responsibilities:

  1. Collect and analyze information to evaluate a Dealer Member's business operations, determining the review's scope and identifying principal risk areas in collaboration with the lead examiner.
  2. Evaluate the risk associated with assigned examination areas and follow established procedures to ensure examination objectives are met and conclusions are well-supported.
  3. Engage with senior management, supervisory, and compliance personnel of a Dealer Member to assess the effectiveness of the firm's internal controls.
  4. Prepare examination findings in collaboration with the lead examiner and assist in drafting the examination report, ensuring clarity and accessibility of language.
  5. Actively participate in team discussions, sharing insights and experiences to enhance examination practices and achieve departmental objectives.

Education/Experience:

  1. Completion of the Canadian Securities Course and the Examination based on the Conduct and Practices Handbook for Securities Industry Professionals is mandatory.
  2. Additional courses such as the Derivatives Fundamental Course, Branch Managers Course, and Chief Compliance Officers Course are considered advantageous.
  3. A minimum of 3 years of experience in compliance, auditing, or supervisory roles within a Dealer Member, or equivalent experience with a securities regulatory organization is required.

Key Skills and Competencies:

  1. In-depth knowledge of the securities industry, CIRO Dealer Members, and their operational activities.
  2. Ability to swiftly comprehend risks associated with new business lines or products and develop practical examination procedures accordingly.
  3. Strong written and verbal communication skills.
  4. Meticulous attention to detail and sound judgment.
  5. Professional demeanor and presentation.
  6. Capacity to work independently while being part of a team-oriented environment.
  7. Ability to manage multiple tasks, meet deadlines, and perform under pressure in diverse settings.
  8. Commitment to continuous learning and professional growth in a compliance context.
  9. Motivated to effect positive change.
  10. Willingness to travel as required.

CIRO operates as a national organization overseeing all investment dealers and trading activities in Canadian marketplaces. This role necessitates effective communication with CIRO regional offices and stakeholders nationwide, thus requiring proficiency in both of Canada's official languages (French and English). Given the frequent interactions with various stakeholders, including clients and regulatory bodies, the position is intended for a fully bilingual candidate.

While we appreciate all applications, only those who closely align with the position's requirements will be contacted.

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

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