Trading Conduct Compliance Examiner (18 month contract)

Ciro-Ocr; Montreal; Hybrid; CAD 75,000 - 87,000; Full time

Benefits offered by this job

Hybrid work environment

Health benefits and spending account

Defined contribution pension plan

Paid flex days and wellness days

Maternity and parental leave top up

Continued learning and designations

Job summary

CIRO in Montreal is seeking an experienced compliance professional to examine dealers’ trading processes for UMIR and IDPC rule adherence. The role includes field work, reporting, and advisory duties across equity, fixed income, and derivative trading activities.

The ideal candidate has 3+ years in securities compliance, bilingual English/French, and strong project management skills. CIRO offers a hybrid work environment with competitive total rewards and benefits.

Qualifications

• Experience in securities industry compliance or trading desk preferred.
• Knowledge of equity and fixed income trade processes preferred.
• Ability to analyze reviews and prepare clear reports.
• Strong communication and presentation abilities required.

Responsibilities

• Lead field work reviewing dealers' equity trading records and procedures.
• Analyze fixed income, OTC equity and derivatives procedures for compliance.
• Prepare reports and present findings to CIRO management and dealers.
• Advise dealers on review outcomes and remediation steps.
• Support sharing best practices and industry guidance.
• Participate in special projects and deliver industry-facing presentations.

Skills

Project management

Delegation

Conflict resolution

Verbal/written communication

Organizational skills

Team collaboration

Travel readiness

Bilingual English/French

Education

Canadian Securities Course

Conduct and Practices Handbook

Traders Training Course

Job description

Job Details

Posting Details

• Posted on November 3, 2026

Locations

• 525 Viger Avenue West Suite 601 Montreal, QC H2Z0B2, CAN
• Hybrid
• Individual Contributor
• Full-Time
• Requisition #: TRADI002661

Description

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.

Key Responsibilities:

The key activities include:

• 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.

Education and Experience:

• Successful completion of the Canadian Securities Course, Conduct and Practices Handbook are assets
• Successful completion of Traders Training Course; or Partners, Directors, Officers or other compliance level exams are assets

• Minimum of three years working in the securities industry experience, preferably in a compliance or trade desk function at a Dealer
• Knowledge of securities industry rules and regulations
• Comprehensive understanding of equity and fixed income transaction process, trading, and back-office systems
• Previous experience on a Canadian equity buy-side or sell-side trading desk or trading compliance is an asset.

Key Skills and Competencies:

• Ability to organize and to work without supervision
• Ability to work inter-dependently 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
• Some travel is required
• Fully bilingual: English and French

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 $75,000 - $87,000. The final compensation offered will be based on the successful candidate’s knowledge, skills, education, training, experience, internal equity, and external market considerations.

We thank all applicants for their interest; however, only those selected for further consideration will be contacted.

#LI-HYBRID #hiring