Regulatory Compliance Examiner, Financial Markets

CIRO/OCRI; Toronto; Hybrid; CAD 77,000 - 90,000; Full time

Benefits offered by this job

Base salary

Performance bonus

Hybrid work

Health benefits

Pension plan

Paid leave

Parental leave

Continuing education

Job summary

CIRO is seeking a Business Conduct Compliance Examiner to join the Business Conduct Compliance team in Toronto. The role involves conducting risk-based examinations of Dealer Member activities, applying CIRO rules, and producing clear examination reports to support remediation and regulatory compliance.

You will participate in fieldwork, collaborate with cross-functional teams, and help enhance examination processes while working in a hybrid schedule.

Qualifications

• 2-4 years’ experience in compliance, audit or supervisory function with a Dealer Member, or other related employment with a securities regulatory organization.
• 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

Responsibilities

• Conduct an in-depth risk assessment of firm business activities to develop a comprehensive examination plan by identifying high-risk areas, documenting the risk levels of assigned examination modules, and assessing the risks associated with new products or business lines, tailoring examination procedures to address compliance with regulatory requirements
• Perform examinations by conducting walkthroughs to understand workflows and document processes, evaluating compliance with regulatory standards and assessing the effectiveness of internal controls under supervision
• Complete fieldwork within the allocated timeline, addressing review notes promptly to maintain examination quality and efficiency
• Clearly document deficiencies and communicate the findings to the firm by collaborating with the examination team to compile comprehensive examination reports, ensuring that findings are well-supported and assist with the review firm’s remediation plans for compliance with regulatory requirements
• Recommend improvements to the examination processes and methodologies, providing feedback to enhance program efficiency and effectiveness
• Interact with other compliance departments for planning, exam scheduling and info sharing purposes
• With the lead examiner, draft findings and the examination report utilizing plain language

Skills

Regulatory compliance

Audit

Risk assessment

Job description

CIRO is seeking a Business Conduct Compliance Examiner to join the Business Conduct Compliance team in Toronto. The role involves conducting risk-based examinations of Dealer Member activities, applying CIRO rules, and producing clear examination reports to support remediation and regulatory compliance.

You will participate in fieldwork, collaborate with cross-functional teams, and help enhance examination processes while working in a hybrid schedule.