Manager, Financial and Operations Compliance

CIRO / OCRI; Toronto; Hybrid; CAD 115,000 - 125,000; Full time

Benefits offered by this job

Performance-based bonus

Hybrid work environment

Health benefits and Spending Account

Defined Contribution Pension Plan with

Pension contributions

Paid flex days and wellness days

Maternity and Parental Leave top up

Continuous learning and designation

Job summary

CIRO, the Canadian Investment Regulatory Organization, is seeking a Manager, Financial & Operations Compliance in Toronto. The role oversees field examinations to ensure Dealer Member firms comply with prudential rules and remain financially and operationally viable.

You will lead the examination process, file regulatory documents on time, and implement interventions to protect investors. A CPA or equivalent exams are preferred, with 5 years in regulatory/securities and 2 years in people

Qualifications

• Accounting designation and strong knowledge of financial reporting and auditing standards.
• Experience with regulatory or securities environments is required.
• Familiarity with CIRO prudential rules and capital market oversight.
• Proven ability to analyze complex issues and communicate them clearly.

Responsibilities

• Manage prudential regulatory oversight for a portfolio of Dealer Member firms.
• Ensure regulatory filings are prepared and filed promptly.
• Plan and execute examinations effectively and efficiently.
• Initiate regulatory interventions to minimize investor loss.
• Provide leadership, coaching, and development for the department.

Skills

IFRS knowledge

CAS knowledge

Audit skills

CIRO rules

Risk analysis

Communication

ERM

Education

CPA preferred

Industry exams (CIRE/CSC/CPH)

CICA In-Depth Securities Course

Job description

Job Details

Posting Details

• • Posted on November 5, 2026

Locations

Showing 1 location

40 Temperance Street
Suite 2600
Toronto, ON M5H0B4, CAN

• Hybrid
• People Leaders
• Full-Time
• Requisition #: MANAG002667

Description

About Us

As a self-regulatory organization, our mission is to promote healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures. At the Canadian Investment Regulatory Organization (CIRO) , we are 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.

About this Opportunity

The Manager, Financial & Operations Compliance manages field examinations to ensure that Dealer Member firms comply with CIRO’s prudential rules and are financially and operationally viable.

Core Responsibilities:

• Manage the “prudential regulatory oversight” of a portfolio of Dealer Member firms to ensure that the risks to the investing public, CIRO, provincial securities commissions and the Canadian Investor Protection Fund (CIPF) are appropriately mitigated
• Ensure that regulatory filings from Dealer Member firms are prepared in accordance with CIRO rules and filed on a timely basis
• Ensure the effective and efficient planning and execution of the examination process
• Initiate timely and appropriate regulatory intervention measures to minimize investor loss by Dealer Member firms facing financial or operational stress
• Ensure department objectives are met through effective people leadership, training and development of the department

What You Bring

Education and Experience

• Accounting designation, CPA preferred
• Completion of an exam or course that demonstrates competency in the investment industry and role of the CFO such as the Chief Financial Officer Exam or other legacy courses such as the CFO Qualifying Exam
• Completion of an exam or course that demonstrates competency in the investment industry such as the Canadian Investment Regulatory Exam (CIRE), and/or Retail Securities Exam and/or Institutional Securities Exam, or other legacy courses such as the Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH) Course
• Completion of the CICA In-Depth Securities Course
• 5 years of experience in a regulatory or securities environment (including brokerage audit) with at least 2 years of people leadership

Key Skills and Competencies:

• Strong knowledge of International Financial Reporting Standards (IFRS) and the Canadian Auditing Standards (CAS)
• Strong audit skills
• Strong working knowledge of CIRO prudential rules
• Ability to detect, analyze and evaluate complex issues for capital implications
• Ability to communicate complex issues in a clear, concise, and professional mannerStrong working knowledge of Enterprise Risk Management frameworks and practices at regulated financial institutions

What we offer

• Competitive total rewards program including 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 wellness days*
• Maternity and Parental Leave top up *
• Paid continuous learning and continuing development including designations*

*Offerings are not applicable to contracts

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 work.

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.

Our Commitment

CIRO is committed to creating an inclusive and barrier-free recruitment and selection process. We welcome applications from all qualified individuals and will provide accommodation upon request for candidates participating in all aspects of the recruitment process, in accordance with applicable human rights and accessibility legislation. If 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 regular communication and collaboration with employees in CIRO regional offices and with stakeholders across Canada. Proficiency in English is required due to the frequent interactions with internal and external English-speaking members, clients, registered representatives, firms, Canadian provincial and territorial securities regulators, and employees located outside Quebec. For positions based in Quebec, proficiency in both English and French is required to effectively perform the duties of the role and communicate with stakeholders in both official languages.

Additional Information

• This posting reflects an active vacancy on our team
• We use automated (AI) enabled technology to support aspects of candidate sourcing, screening, and communications. Applications are reviewed by our hiring team and hiring decisions are made by people.
• The hiring range for this position is $115,000 - $125,000. The final compensation offered will be based on the successful candidate’s knowledge, skills, education, training, experience, internal equity, and external market considerations.