Senior Business Conduct Compliance Examiner

CIRO OCRI
CA - Ontario - Old Toronto
June 27, 2024
Management

Senior Business Conduct Compliance Examiner

Job Category: Professional / Technical

Requisition Number: SENIO002198

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Full-Time

Locations

Showing 1 location

40 Temperance Street
Suite 2600
Toronto, ON M5H0B4, CAN

Description

Position Title: Senior Business Conduct Compliance Examiner (ID)

Department:Business Conduct Compliance

Location: Toronto

Status:Permanent Full-time (Hybrid)

As a self-regulatory organization, Canadian Investment Regulatory Organization (CIRO) takes our responsibility of setting high-quality regulatory and investment industry standards seriously, while protecting investors and supporting healthy capital markets in Canada.

In Business Conduct Compliance (BCC) we take great pride in what we do. By joining our dynamic and collaborative team of industry professionals, you will have the opportunity through the examination process to make a difference for investors and the capital markets.

As a key member of the team, the Senior Business Conduct Compliance Examiner conducts field reviews of sales and business conduct compliance activities of Dealer Member head office and business locations. You will interpret and apply Dealer Member Rules to the evolving business models of firms.

Key Responsibilities:

Oversee work of team members and assigned examination modules
Ensure successful completion of fieldwork within agreed budgeted hours and timeline
Train BCC Examiners by instructing them in the field on examination procedures, closely supervising their work and providing assessments of their progress to BCC Managers
Gather information to assess a Dealer Member's business activities to determine the scope of the review and the areas of principal risk
Assess the risk of assigned examination areas and follow procedures to ensure that examination objectives are achieved and conclusions are adequately addressed and supported
Interact with senior management, supervisory and compliance staff of a Dealer Member in order to evaluate the effectiveness of the firm's controls
Draft examination findings and prepare the examination report that is written in plain language, for Manager review
Actively contribute to team discussion, openly sharing experiences and ideas to improve examination practices and departmental goals

Education and Experience:

The following courses are required: Canadian Securities Course, and the Conduct and Practices Handbook for Securities Industry Professionals
The following courses are an asset: Derivatives Fundamental Course, Investment Dealer Supervisors Course and Chief Compliance Officers Qualifying Exam (CCO) course
Total of 4 years in a compliance, audit or supervisory function with a Dealer Member, or 4 years other related employment with a securities regulatory or self-regulatory organization

Key Skills and Competencies:

Comprehensive knowledge of the securities industry, CIRO Rules, Dealer Members and their activities
Knowledge and interest in crypto currencies and crypto trading platforms
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 judgement
Professional presentation and manner
Ability to work independently in a team-oriented environment
Ability to multi-task, adhered 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

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

CIRO is committed to employment practices that are inclusive and accessible. Accommodations for individuals with disabilities are available. Should you require accommodation, please contact Human Resources.

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Read the full job description and apply online on the recuiter's web-site

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