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Regulatory Policy Director
2 months ago
We are seeking a highly experienced and skilled Regulatory Policy Director to join our team at CIRO/OCRI. As a key member of our leadership team, you will be responsible for overseeing and managing our national Registration program, ensuring a consistent approach to registration matters.
Key Responsibilities- Registration Program Management: Oversee and manage the national Registration program to ensure a consistent approach to registration matters, including:
- Providing expertise, advice, and direction on novel or complex registration matters, as required.
- Leading the development of registration-related rule and policy concept proposals, as required.
- Reviewing and assessing the department's policies, procedures, and performance benchmarks to ensure their ongoing adequacy and effectiveness.
- Overseeing data reporting to the CSA members and other regulators under MOUs.
- Leadership and Team Management: Develop and deliver staff training, as required. In collaboration with VP, Proficiency, develop and execute on strategic plans, priorities, and projects that align with CIRO priorities.
- Regulatory Expertise: 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.
- Leadership and Management Skills: Demonstrated leadership and proven ability to manage a large and national team.
- Regulatory Knowledge: Advanced knowledge of relevant securities legislation and CIRO regulatory requirements, particularly those relating to registration.
- Minimum of 5 years of senior management experience.
- Regulatory background and/or experience as a Chief Compliance officer, senior compliance officer or a senior supervisor in the investment industry considered an asset.
- 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.
