Compliance Process Manager

1 week ago

Toronto, Ontario, Canada CIRO OCRI Full time
Job Description

CIRO is seeking a highly skilled Membership Intake Manager to join our team. This role requires strong knowledge of regulatory processes and associated rules, as well as expertise in CIRO Rules relating to new application process and Member transaction changes.

About the Role

The Membership Intake Manager will be responsible for leading the management of membership applications and in-scope changes in business, providing subject matter expert review and analysis of in-scope membership applications and transactions from a BCC and/or TCC perspective, and assisting in the management of written procedures for the BCC and TCC analysis of membership applications and in-scope change in business submissions.

Key Responsibilities
  • Manage membership applications and in-scope changes in business, ensuring timely completion and adherence to regulatory requirements.
  • Provide expert review and analysis of in-scope membership applications and transactions, identifying potential risks and recommending mitigating strategies.
  • Assist in the development and maintenance of written procedures for the BCC and TCC analysis of membership applications and in-scope change in business submissions.
Requirements

To be successful in this role, you will need:

  • A minimum of 5 years' experience in a compliance function with a Dealer Member, securities regulator or self-regulatory organization.
  • Previous management experience preferred.
  • Strong knowledge of regulatory processes and associated rules, including CIRO Rules.
  • Expertise in business conduct compliance (BCC) and trading conduct compliance (TCC).
  • Strong problem-solving and critical-thinking skills to address complex issues.
What We Offer

CIRO offers a competitive base salary of $120,000 - $150,000 per year, depending on experience, as well as a performance-based bonus and hybrid work environment.

About CIRO

CIRO is a dynamic and transparent organization that values accountability and is committed to maintaining the highest standards of regulatory oversight in the financial industry. As a regulator, we understand that we are all investors, and our mission is to promote healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures.

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