Business Conduct Compliance Examiner

CIRO / OCRI; Montreal (administrative region); Hybrid; CAD 77,000 - 87,000; Full time

Benefits offered by this job

Hybrid work environment

Health Benefits and Spending Account

Defined Contribution Pension Plan with

Paid flex days and sick days

Vacation days

Maternity/Paternity leave top-up

Paid continuous learning and designa­t

Job summary

CIRO is seeking a Business Conduct Compliance Examiner to assess Dealer Member head offices and locations, applying CIRO rules to evolving business models. The role includes planning, reviewing, reporting deficiencies, and sustaining record-keeping, with a focus on accuracy and regulatory compliance.

The position supports a hybrid work environment with extensive training, a healthy work-life balance, and opportunities across Canada.

Qualifications

• Undergraduate degree required.
• Canadian Securities Course and Conduct and Practices Handbook exam required.
• Total of 3 years in a compliance, audit, or business location supervisory function with a Dealer Member, or 3 years in related securities regulatory employment.

Responsibilities

• Plan examinations: scope, principal risk areas, and estimated hours.
• Conduct reviews with senior management of Dealer Members.
• Prepare deficiency reports in clear, concise format.
• Maintain complete records of examination planning, interviews, and reviewed materials.
• Contribute to department objectives and long-term goals.

Skills

Written & oral communication

Teamwork

Travel readiness

Multi-tasking

Professional presentation

Motivation to make a difference

Education

Undergraduate degree

Canadian Securities Course

Conduct and Practices Handbook exam

3 years in compliance/audit/supervisory

Job description

As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) is committed to setting high regulatory standards for the investment industry, safeguarding investors, and supporting the integrity of Canada’s capital markets. Join a growing team and contribute to the dynamic and complex world of Canadian capital markets.

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 and technology tools 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:

• Planning: conduct preliminary assessments of a Dealer Member head office or business location to determine the scope of the review, the areas of principal risk, and an estimate of the anticipated number of hours required to complete the examination
• Review: by interacting with senior management of Dealer Members, conduct reviews of their head office or business location
• Report Preparation: prepare report of deficiencies that is clear, concise, and in good form.
• Record Keeping: ensure files include all relevant material on the planning of the examination, interviews conducted and records reviewed
• Contribute to the effectiveness of the department in meeting its objectives and long-term goals.

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,
• Total of 3 years in a compliance, audit, or business location supervisory function with a Dealer Member,
• or 3 years other related employment with a securities regulatory or self-regulatory organization.

Nice to Haves

• Effective written and oral communication skills
• Professional presentation and manner
• Self-motivated with an ability to work well in teams
• Ability to multi-task 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 travelThe following courses are an asset: Derivatives Fundamental Course, Branch Managers Course and Chief Compliance Officers Course

What we offer:

• Competitive base salary in alignment with market
• Performance based bonus *
• Hybrid work environment
• 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
• Maternity Leave Of Absence/Paternity Leave Of Absence top up *
• Paid continuous learning and continuing development including designations
• Asterisked offerings are not applicable to contracts

Why the Canadian Investment Regulatory Organization (CIRO):

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 regulators, we understand that we are all investors, and therefore a career with us is a purposeful career: 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.

At CIRO, you'll be part of an organization driven by Pride in Excellence, a strong Focus on Well-being, and A Shared Purpose that connects our people to meaningful work. We're committed to fostering an inclusive, supportive environment where you can grow and make an impact. Learn more about what it’s like to build your career at CIRO by exploring our Careers page: https://www.ciro.ca/about-ciro/careers

Our Commitment:

CIRO is an equal opportunity employer and is committed to providing employment 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.

We are committed to creating an inclusive and barrier-free recruitment and selection process across Canada. We welcome applications from all qualified individuals and are dedicated to providing accommodations upon request for candidates participating in all aspects of the recruitment process, in accordance with applicable human rights and accessibility legislation.

Our Recruitment Process:

• This posting reflects an active vacancy on our team
• We use automated (AI) tools to assist with candidate sourcing and communications. Applications are reviewed by our hiring team and hiring decisions are made by people.
• This role has a hiring range of $77,000 - $87,000 with the placement and offered salary being based on knowledge, skills, education/training and experience, as well as external market conditions and internal equity.

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