Registration Officer

Position Title: Registration Officer

Department: Registration

Location: Montreal

Status: Permanent Full-time 

Core Responsibilities:

• Reviews registration filings of moderate complexity.
• Conducts registration gatekeeper functions through quality, timely and consistent registration review of NRD applications and notices.
• Reviews information relevant to registration using internal and external sources.
• Corresponds with filers and their representatives requesting further information, where applicable.
• Accurately assesses and recommends an appropriate course of action for filings.
• Maintains detailed records of reviews and adheres to policies and procedures for reviewing, analyzing and recording of filings.
• Identifies and escalates sensitive, urgent or unusual regulatory issues or concerns.
• Reports to the Registration Manager and supports Senior Registration Officers.
• Supports information resources that assist with registration functions.
• Liaises with CIRO Regional Offices to provide information on registration filings.
• Assists with other department initiatives where required.

Education and Experience:

• Proficient on the National Registration Database.
• Post-Secondary education (University Degree or College Diploma)
• Canadian Securities Course and the Conduct and Practices Handbook Course or other related courses are considered assets.
• Minimum 2-3 years of financial industry experience, preferably in registration either at a dealer member, another self-regulatory organization or securities commission.

Key Skills and Competencies:

• Good understanding of CIRO Rules and related policies, and instruments.
• Detail oriented with good analytical and problem solving skills.
• Ability to work in fast-paced high-volume environments.
• Strong written and verbal communication skills.
• Strong service skills when dealing with sensitive information with members and the public
• Ability to deal with confidential information in a sensitive manner.
• Good file management and organizational skills.
• Ability to work proactively and independently, in order to prioritize and complete tasks within established service timelines.
• Proficiency with a variety of computer software applications, including MS Word, Excel.

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. 

While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted. 

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