Registration Officer

**Position title: Registration Officer**

**Department: Registration**

**Region: Toronto**

**Status: Permanent Full-Time (Hybrid)**

**Day in the life of**:
CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces. CIRO’s Registration department acts as a gatekeeper to the Canadian capital markets by ensuring individuals are suitable for registration and approval. The Registration Officer is a key member of the Registration team, responsible for review of notices for current Registrants and Approved Persons via the National Registration Database, along with the review of internal and external reports and other departmental initiatives, where applicable.

**Core Responsibilities**:

- Conducts registration gatekeeper functions through quality, timely and consistent review of NRD notices.
- Accurately assesses and recommends the appropriate course of action on notice filings which raise novel or contentious matters.
- Identifies and escalates sensitive, urgent or unusual regulatory issues or concerns.
- Performs research through CIRO’s internal databases, as well as external regulatory databases to gather data.
- Maintains detailed records of reviews and adheres to policies and procedures for reviewing, analyzing and recording of notices.
- Manages different internal and external sites and lists for information and evaluation purposes.
- Liaises with CIRO Regional Offices to provide and exchange information on registration filings.
- Assists in the review of other ad hoc reports and records review, along with other department initiatives, where applicable.

**Skills and Competencies**:
**Must-Haves**
- Post-Secondary education (University Degree or College Diploma)
- Minimum 2-3 years of financial industry experience, preferably in registration either at a dealer member, another self-regulatory organization or securities commission.
- Good understanding of CIRO Rules and related policies, and instruments
- Strong written and verbal communication skills
- Strong customer service skills when dealing with sensitive information with members and the public
- Good analytical skills and problem solving skills
- Ability to deal with confidential information in a sensitive manner.
- Good file management and organizational skills
- Effective interpersonal and change management skills
- Ability to work proactively and independently, in order to prioritize and complete tasks within established timelines

**Nice-to-Have**
- Proficient on NRD (National Registration Database)
- Canadian Securities Course and the Conduct and Practices Handbook Course or other related courses, considered an asset.

**Why the Canadian Investment Regulatory Organization (CIRO)**:
**Our purpose and our impact**

With offices across Canada - from Vancouver to Montreal, our mission is to promote healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures. As a regulator, we understand that we are all investors. Therefore, a career with us is a career with purpose, protecting our future. Our mission is to serve Canadians by overseeing investment and mutual fund dealers as well as trading activity on Canada’s marketplaces to ensure safe and equitable trading and investments. As regulators, we understand that we are all investors, and therefore a career with us is a career with purpose protecting our future.

**Culture and Working Environment**

Life at CIRO is purpose and performance
- driven. We foster an inclusive culture where teamwork, a forward-thinking attitude, and integrity are at the core of everything we do. This creates an environment where employees thrive, grow, and are empowered to learn and contribute their best.

Joining CIRO means becoming part of a dynamic and transparent organization that values accountability and is committed to maintaining the highest standards of regulatory oversight in the financial industry.

Looking for a career where you can safeguard the integrity of Canadian markets? Join CIRO and be part of the team that secures our financial future.

**Our Commitment**:
CIRO is an equal opportunity employer and is committed to providing employment accommodation in accordance with the Ontario Human Rights Code and the Accessibility for Ontarians with Disabilities Act, 2005 (AODA). CIRO will provide accommodation to job applicants with disabilities throughout the recruitment process. Should you require accommodation, please contact Human Resources.

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