Regulatory Finance & Operations Compliance Lead

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

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