Business Conduct Compliance Examiner

Canadian Investment Regulatory Organization; Montreal; Hybrid; CAD 70,000 - 90,000; Full time

Job summary

The Canadian Investment Regulatory Organization seeks a Business Conduct Compliance Examiner in Montreal. This role involves conducting compliance reviews, assessing business risks, and ensuring adherence to regulatory standards. The ideal candidate will have a strong background in securities and compliance, effective communication skills, and a commitment to professional development.

Benefits

Competitive base salary

Performance based bonus

Employer paid Health Benefits

Defined Contribution Pension Plan with company matching

Paid flex days and sick days

Qualifications

• 3 years in a compliance, audit or supervisory function with a Dealer Member.
• Knowledge of CIRO Dealer Members and their activities.
• Interest in ongoing learning and professional development.

Responsibilities

• Conduct field reviews of sales and business conduct compliance activities.
• Assess risks and ensure examination objectives are achieved.
• Draft examination findings and assist in report preparation.

Skills

Knowledge of securities and mutual funds industry

Effective written and oral communication skills

Attention to detail

Ability to work independently

Ability to multi-task

Education

Canadian Securities Course

Examination based on the Conduct and Practices Handbook for Securities Industry Professionals

Job description

Position Title : Business Conduct Compliance Examiner

Department : Business Conduct Compliance

Location : Montreal

Status : Permanent, Full-time (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 :

• 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.
• 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.

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

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