Executive Director, Registration and Compliance

2 days ago

Old Toronto, Ontario, Canada Canadian Investment Regulatory Organization Full time
Job Summary

We are seeking a highly experienced and skilled professional to lead our Registration and Compliance team as an Executive Director. The successful candidate will be responsible for providing strategic leadership and oversight of our registration function, ensuring compliance with regulatory requirements and industry standards.

Key Responsibilities
  • Registration Program Management
    • Oversee the national Registration program to ensure a consistent approach to registration matters, including individual approval and registration applications, proficiency exemptions, material notices, and registration hearings and review.
    • Provide direct oversight of the Toronto Registration team.
  • Expertise and Advice
    • Provide expertise, advice, and direction on novel or complex registration matters, as required.
    • Act as an internal decision maker for registration matters, as required.
  • Collaboration and Stakeholder Management
    • Collaborate with Membership Intake on Membership transactions.
    • Maintain and develop effective working relationships with key internal and external stakeholders, including staff from the provincial securities commissions, CIRO advisory committees, and CIRO Regional Councils.
  • Strategic Planning and Leadership
    • Develop and execute on strategic plans, priorities, and projects that align with CIRO priorities, in collaboration with the VP, Proficiency.
    • Set a dynamic culture that is open to change, seeking opportunities for continuous improvement.
  • Performance Management and Reporting
    • Review and assess the department's policies, procedures, and performance benchmarks to ensure their ongoing adequacy and effectiveness.
    • Oversee data reporting to the CSA members and other regulators under MOUs.
Requirements
  • University degree. Business and/or Law Degree considered an asset.
  • Minimum of 5 years of senior management experience.
  • A regulatory background and/or experience as a Chief Compliance officer, senior compliance officer, or a senior supervisor in the investment industry considered an asset.
Key Skills and Competencies
  • Demonstrated leadership and proven ability to manage a large and national team.
  • Advanced knowledge of relevant securities legislation and CIRO regulatory requirements, particularly those relating to registration.
  • Advanced knowledge of the securities industry, including operations, retail sales, and compliance.
  • Strong analytical skills and ability to think strategically.
  • A proven ability to work productively and collaboratively with colleagues and various stakeholders.

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