Trading Conduct Compliance Examiner

CIRO; Vancouver; Hybrid; CAD 78,000 - 96,000; Full time

Benefits offered by this job

Health Benefits and Spending Account

Defined Contribution Pension Plan

Paid flex days and sick days

Hybrid work environment

Job summary

CIRO, a self-regulatory organization overseeing Canadian capital markets, is seeking an Examiner on the Trading Conduct Compliance team in Vancouver. You will examine Dealers’ processes and supervision for compliance with UMIR and IDPC Rules, including fixed income and OTC products, and prepare reports for CIRO management.

Travel is required for some reviews. The role requires at least five years in the securities industry, CSC, and strong knowledge of trading workflows and back-office systems.

Qualifications

• Minimum of five years working in the securities industry, preferably in compliance or trade desk.
• Knowledge of UMIR and IDPC rules and their application to trading processes.
• Completed Canadian Securities Course and Conduct and Practices Handbook.
• Strong understanding of equity and fixed income trading and back-office systems.

Responsibilities

• Conduct reviews of dealers’ equity trading records and supervision policies for compliance with securities rules.
• Review procedures for fixed income, OTC equity and derivatives trading.
• Analyze results and prepare reports for CIRO management and dealers.
• Advise dealers of review results and ensure deficiencies are addressed.

Skills

Securities experience

UMIR/IDPC knowledge

CSC

Analytical skills

Education

Canadian Securities Course (CSC)

Conduct and Practices Handbook

Job description

Description

As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) is 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.

As an Examiner on our Trading Conduct Compliance team, you will examine Dealers’ processes, procedures and supervision for their compliance with trading related Requirements as defined in the Universal Market Integrity Rules (UMIR) and the Investment Dealer and Partially Consolidated Rules (IDPC Rules). In addition, the examiner will participate in the review of trading related aspects of fixed income and OTC products.

Core Responsibilities:

Field Work

• Conduct reviews of Dealers’ equity trading records and supervision policies and procedures for compliance with securities industry rules and regulations
• Conduct reviews of Dealers’ fixed income, OTC equity and derivatives procedures and policies
• Analyze results of reviews
• Prepare reports for CIRO management and Dealers about review status, results and analysis
• Advise Dealers of review results
• Evaluate compliance with trading related requirements (UMIR and IDPC Rules as applicable) and ensure identified deficiencies are addressed and where necessary, assist in the preparation of referrals to Enforcement.

Sharing Best Practices

• Advise Dealers of issues found in reviews and key industry concerns
• Advise and support Dealers with effective methods to improve processes and resolve deficiencies
• Respond to compliance related inquiries from Dealers.

Special Projects

• Work on projects and industry studies
• Prepare and deliver presentations to industry about compliance issues.

Key Skills and Competencies:

Must-haves

• Minimum of five years working in the securities industry experience, preferably in a compliance or trade desk function at a Dealer
• Successful completion of the Canadian Securities Course, Conduct and Practices Handbook
• Knowledge of securities industry rules and regulations
• Comprehensive understanding of equity and fixed income transaction process, trading, and back-office systems

Nice to Haves

• Successful completion of Traders Training Course; or Partners, Directors, Officers or other compliance level exams
• Previous experience on a Canadian equity buy-side or sell-side trading desk or trading compliance Ability to organize and to work without supervision
• Ability to work interdependently in a team environment
• Ability to work in a cross-functional environment
• Strong project management, delegation, and conflict resolution skills
• Excellent verbal and written communication skills, including some public speaking

Please note that some travel is required in this role.

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

*Asterisked offerings are not applicable to contracts

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 regulators, we understand that we are all investors, and therefore a career with us is a purposeful career: 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.

At CIRO, you’ll be part of an organization driven by Pride in Excellence , a strong Focus on Well ‑ being , and A Shared Purpose that connects our people to meaningful work. We’re committed to fostering an inclusive, supportive environment where you can grow and make an impact. Learn more about what it’s like to build your career at CIRO by exploring our Careers page: https://www.ciro.ca/about-ciro/careers

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.

We are committed to creating an inclusive and barrier-free recruitment and selection process across Canada. We welcome applications from all qualified individuals andare dedicated to providingaccommodations upon request for candidatesparticipatingin all aspects of the recruitment process,in accordance withapplicable human rights and accessibility legislation.

OurRecruitment Process:

• This posting reflects an active vacancy on our team
• We use automated (AI) tools toassistwith candidate sourcing and communications. Applications are reviewed by our hiring team and hiring decisions are made by people.
• This role has a hiring range of $78,000 - $96,000 with the placement and offered salary being based on knowledge, skills, education/training and experience, as well as external market conditions and internal equity.