Senior Membership Intake Examiner, TCC

CIRO / OCRI; Toronto; Hybrid; CAD 80,000 - 100,000; Full time

Benefits offered by this job

Competitive base salary

Performance based bonus

Employer paid Health Benefits

Defined Contribution Pension Plan with company matching

Paid flex days and sick days

Job summary

A Canadian investment regulatory organization in Ontario is seeking a Membership Intake Senior Examiner (TCC) to analyze and verify Dealer Member applications. Candidates should possess strong compliance knowledge and at least 5 years of industry experience. This role offers competitive salary and a hybrid work environment.

Qualifications

• Minimum 5 years of securities industry experience.
• Minimum 2 years as a Trade Desk Compliance Officer.
• Comprehensive understanding of transaction processes, trading, and back-office systems.

Responsibilities

• Analyze and verify completeness of Dealer Member applications.
• Acts as File Lead for Dealer Member transactions.
• Ensure thorough documentation and tracking of MI-TCC analysis.

Skills

Good understanding of the operations of an investment dealer

Strong problem-solving and critical-thinking skills

Ability to effectively communicate complex matters

Proficiency in French

Education

Successful completion of the Canadian Securities Course

Successful completion of the Conduct and Practices Handbook

Successful completion of Traders Training Course

Tools

Universal Market Integrity Rules (UMIR)

Job description

Position Title: Membership Intake Senior Examiner (TCC)

Department Membership Intake

Location: Vancouver, Calgary, Montreal and Toronto

Status: Permanent Full-Time (Hybrid)

Day in the life of:

The Membership Intake Senior Examiner (TCC) is accountable for analyzing and independently verifying the accuracy and completeness of Dealer Member applications and transaction requests (“Dealer Member Transactions”). They will work directly with firms applying for CIRO membership as well as existing Dealer Members firms that propose changes to their business and operations. The Membership Intake Senior Examiner will possess expertise in areas related to Trading Conduct Compliance (TCC), including in-depth knowledge of Universal Market Integrity Rules (UMIR).

Core Responsibilities:

• Perform subject matter expert review, analysis, and recommendation of assigned Dealer Member transactions from a TCC perspective, working in consultation with the relevant stakeholders within MI and within the impacted Policy and Compliance teams, as appropriate.
• Perform the role as File Lead for assigned Dealer Member transactions. This entails being the main point of contact for the Dealer Member with respect to the overall transaction. The File Lead is also responsible for driving the file to full completion, ensuring all relevant internal reviews and milestones are completed within the required timelines.
• Ensure complete tracking and documentation of the MI-TCC analysis of a Dealer Member transaction for the purpose of oversight and internal/external reporting.
• Assist in the maintenance of the written procedures for the MI-TCC analysis of Dealer Member transactions.
• Contribute to process improvement in relation to MI’s processing of Dealer Member transactions.
• Effective verbal and/or written communications with Dealer Members and applicants, which includes the effective communication of complex matters in a clear, concise and complete manner to ensure the Members’ understanding and responsiveness.
• Complete assigned training and continuing education to develop and maintain the appropriate expertise on new business models and products associated with Dealer Member transactions.
• Represent membership Intake effectively in meetings with internal and external stakeholders, which include the C-suite at Dealer Members and applicants, external counsel for Dealer Members and CIRO senior management.

Key Skills and Competencies:

Must-haves

• Good understanding of the operations of an investment dealer.
• Thorough understanding of CIRO policies and procedures that pertain to the examination of the trading function of Participants.
• Broad knowledge of securities industry regulations and their application
• Strong problem-solving and critical-thinking skills to address complex issues.
• Ability to effectively manage competing and/or changing priorities while working within prescribed timelines.
• Ability to effectively communicate complex matters both orally and in writing
• French language proficiency is considered an asset
• Proficiency in other compliance areas, such as Financial and Operations Compliance, Business Conduct Compliance or Registration, is considered an asset
• Proficient in Universal Market Integrity Rules (UMIR) and other trading related Investment Dealer Partially Consolidated (IDPC) rules
• Experience in and strong knowledge of regulatory processes
• A minimum of 5 years of securities industry experience, preferably in a compliance or trade desk function at a Dealer
• A minimum of 2 years of experience as a Trade Desk Compliance Officer or equivalent.
• Comprehensive understanding of the equity and fixed income transaction process, trading and back-office systems
• Previous experience on a Canadian equity buy-side or sell-side trading desk is considered an asset
• Successful completion of the Canadian Securities Course, Conduct and Practices Handbook, and Traders Training Course.
• Successful completion of any of the following courses is considered an asset: Investment Dealer Supervisors Course, Partners, Directors and Senior Officers Course, and Chief Compliance Officers Qualifying Exam

What we offer:

• Competitive base salary in alignment with market
• 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 sick days
• Maternity Leave Of Absence /Paternity Leave Of Absence top up
• Paid continuous learning and continuing development including designations.

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.