Position Title: Business Conduct Compliance Examiner
Department: Business Conduct Compliance
Location: Montreal
Status: Contract 12 months (Hybrid)
Day in the life of:
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 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 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 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.
Core 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 discussion, openly sharing experiences and ideas to improve examination practices and departmental goals
Skills and Competencies:
Must-Haves
Undergraduate degree
The following courses are required: Canadian Securities Course, and Examination based on the Conduct and Practices Handbook for Securities Industry Professionals
The following courses are an asset: Derivatives Fundamental Course, Branch Managers Course and Chief Compliance Officers Course
Total of 3 years in a compliance, audit or supervisory function with a Dealer Member, or 3 years other related employment with a securities regulatory organization
Knowledge of securities and mutual funds 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 judgement
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
What we offer:
Competitive base salary in alignment with market
Performance based bonus
Hybrid work environment upon demonstrating ability to work independently
Employer paid Health Benefits and Spending Account that offer flexibility to meet your individual or family needs as of day one.
Defined Contribution Pension Plan with company matching that starts on your first day of employment.
Paid flex days and sick days
Vacation days
MLOA/PLOA top up Paid continuous learning and continuing development as well as designation.
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.
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.
CIRO is a pan-Canadian organization that oversees all investment dealers and trading activity in marketplaces across Canada. This position requires the ability to communicate with employees in CIRO regional offices and other CIRO stakeholders across Canada. Accordingly, proficiency in both official languages of Canada (French and English) is needed. Due to the frequent interactions with internal and external English-speaking members, clients, representatives, firms, Canadian provincial and territorial securities regulators, and employees situated outside of Quebec, the position requires a fully bilingual candidate.
No part of our recruitment process uses artificial intelligence (AI) to screen, triage, or assess candidates. All applications are reviewed by our hiring team.
While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted.
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Job Detail
Job Id
JD2817779
Industry
Not mentioned
Total Positions
1
Job Type:
Full Time
Salary:
Not mentioned
Employment Status
Permanent
Job Location
Montréal, QC, CA, Canada
Education
Not mentioned
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Beware of fraud agents! do not pay money to get a job
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