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Regulatory Compliance Specialist

1 week ago

Toronto, Ontario, Canada CIRO OCRI Full time
Job Summary
CIRo/OCRI is seeking a highly skilled Regulatory Compliance Specialist to join our dynamic team. The successful candidate will be responsible for conducting field reviews of sales and business conduct compliance activities of Dealer Member head office and business locations.

In this role, you will interpret and apply CIRo Dealer Member Rules to the evolving business models of firms. You will contribute to a performance culture while maintaining a healthy work-life balance, having the ability to participate in the work-from-home program once extensive training has been completed.

Main Responsibilities
  • Gather information to assess a Dealer Member's business activities to determine the scope of the review and the areas of principal risk, in consultation with the lead examiner.
  • Assess the risk of assigned examination areas and follow procedures to ensure that examination objectives are achieved and conclusions are adequately supported.
  • Interact with senior management, supervisory, and compliance staff of a Dealer Member to evaluate the effectiveness of the firm's controls.
  • Draft examination findings in consultation with the lead examiner and assist in the preparation of the examination report that is written in plain language.
  • Actively contribute to team discussions, openly sharing experiences and ideas to improve examination practices and departmental goals.

Requirements
  • Total of 3 years in a compliance, audit, or supervisory function with a Dealer Member, or 3 years of other related employment with a securities regulatory organization.
  • Knowledge of the securities industry, CIRo Dealer Members, and their activities.
  • Ability to quickly understand the risks associated with new business lines or products and to formulate practical examination procedures to address them.
  • Effective written and oral communication skills.
  • Attention to detail and ability to exercise sound judgment.
  • Professional presentation and manner.
  • Ability to work independently in a team-oriented environment.
  • Ability to multi-task, adhere to timelines, and work under pressure in different environments.
  • Interest in ongoing learning and professional development in a compliance capacity.
  • Motivated to make a difference.
  • Ability to travel.