Counsel, Regulatory Compliance & Emerging Dealer Practices

CIRO; Toronto; Hybrid; CAD 124,000 - 152,000; Full time

Benefits offered by this job

Competitive salary

Bonus

Hybrid work

Health benefits & spending account

Pension plan with company matching

Flex days and sick days

Maternity/Paternity leave top up

Learning and designations

Job summary

CIRO is seeking a Counsel, Business Conduct Compliance, embedded within BCC to assess evolving dealer conduct and new technologies, including AI and digital platforms, to ensure investor protection and consistent supervision. You will analyze complex models and draft practical guidance for examination teams and management.

The role requires translating legal issues into actionable recommendations, collaborating with senior counsel, and supporting cross-region examination approaches in a hybrid

Qualifications

• Law degree or equivalent experience in securities regulation.
• Experience in regulatory, compliance, or policy roles involving securities regulation.
• Ability to analyze complex business models with limited precedents.
• Strong judgment, problem-solving, and communication skills.
• Ability to translate legal concepts into practical guidance.

Responsibilities

• Lead assessment of emerging dealer conduct issues and new technologies.
• Analyze rules and provide practical recommendations for BCC management.
• Support consistent approaches across firms, regions, and examinations.
• Identify issues for escalation to Policy for guidance or rule development.
• Prepare briefing notes and decision-support materials.

Skills

Regulatory analysis

Securities regulation

Policy interpretation

Oral and written advocacy

Presentations

Education

Law degree

Job description

CIRO is seeking a Counsel, Business Conduct Compliance, embedded within BCC to assess evolving dealer conduct and new technologies, including AI and digital platforms, to ensure investor protection and consistent supervision. You will analyze complex models and draft practical guidance for examination teams and management.

The role requires translating legal issues into actionable recommendations, collaborating with senior counsel, and supporting cross-region examination approaches in a hybrid