Compliance Examiner: Field & Risk Reviews (Hybrid)

CIRO / OCRI; Toronto; On-site; CAD 70,000 - 90,000; Full time

Benefits offered by this job

Competitive base salary

Performance-based bonus

Employer-paid Health Benefits

Defined Contribution Pension Plan

Paid flex days

Paid continuous learning

Job summary

CIRO / OCRI in Toronto is seeking a Business Conduct Compliance Examiner to join the Business Conduct Compliance team. In this role, you will conduct comprehensive assessments of firm activities, ensuring compliance with regulatory requirements. You will collaborate with various departments, perform examinations, and document findings. Ideal candidates will have a general undergraduate degree, 2–4 years of relevant experience, and examinations in the investment industry. A hybrid work environment and competitive benefits are offered.

Qualifications

• 2–4 years’ experience in compliance, audit, or supervisory function with a Dealer Member or related regulatory organization.
• Completion of an investment industry competency exam such as CIRE or CSC.

Responsibilities

• Conduct in-depth risk assessments and develop examination plans.
• Perform examinations and evaluate compliance with standards.
• Document findings and communicate results to firms.

Skills

Compliance experience

Audit experience

Communication skills

Attention to detail

Judgement

Ability to work independently

Ability to multi-task

Travel flexibility

Education

General undergraduate degree

Job description

CIRO / OCRI in Toronto is seeking a Business Conduct Compliance Examiner to join the Business Conduct Compliance team. In this role, you will conduct comprehensive assessments of firm activities, ensuring compliance with regulatory requirements. You will collaborate with various departments, perform examinations, and document findings. Ideal candidates will have a general undergraduate degree, 2–4 years of relevant experience, and examinations in the investment industry. A hybrid work environment and competitive benefits are offered.