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Compliance Risk Specialist

2 weeks ago

Toronto, Ontario, Canada CIRO OCRI Full time

At CIRO / OCRI, we strive to set high-quality regulatory standards and protect investors. Our Business Conduct Compliance team plays a vital role in this effort.

Job Summary

We are seeking a skilled Compliance Risk Specialist - Regulatory Affairs to join our dynamic team. As a key member, you will conduct field reviews of sales and business conduct compliance activities of Dealer Member head office and business locations.

You will interpret and apply CIRO Dealer Member Rules to the evolving business models of firms. Your contributions will help maintain a performance culture while ensuring a healthy work-life balance.

About the Role
  • Gather information to assess a Dealer Member's business activities and determine the scope of the review.
  • Assess the risk of assigned examination areas and follow procedures to ensure that examination objectives are achieved.
  • Interact with senior management, supervisory, and compliance staff of a Dealer Member to evaluate the effectiveness of the firm's controls.
  • Draft examination findings and assist in preparing the examination report.
  • Actively contribute to team discussions and share experiences to improve examination practices and departmental goals.
Education and Experience

The ideal candidate has:

  • Total of 3 years in a compliance, audit, or supervisory function with a Dealer Member.
  • 3 years of other related employment with a securities regulatory organization.

Candidates should also have knowledge of the securities industry, CIRO Dealer Members, and their activities. Strong written and oral communication skills are essential for success in this role.

Key Skills and Competencies
  • Knowledge of the securities industry and CIRO Dealer Members.
  • Ability to understand risks associated with new business lines or products.
  • Effective written and oral communication skills.
  • Attention to detail and sound judgment.
  • Professional presentation and manner.
  • Ability to work independently and multi-task under pressure.
  • Motivated to make a difference and committed to ongoing learning.