Senior Membership Intake Examiner FinOps

Senior Membership Intake Examiner Fin Ops

Position Title: Sr Membership Intake Examiner Fin Ops

Department: Member Intake

Location: Vancouver, Calgary, Montreal and Toronto

Employment Type: Regular

Working Arrangement: Full-time, Hybrid

As a self‑regulatory organization, the Canadian Investment Regulatory Organization (CIRO) promotes healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures. CIRO sets high regulatory standards, safeguards investors, and supports the integrity of Canada’s capital markets. Join a growing team and contribute to the dynamic and complex world of Canadian capital markets.

The Senior Membership Intake Examiner is accountable for analyzing and independently verifying the accuracy and completeness of firm information submitted within the context of new membership applications and in‑scope changes in business. The Examiner works directly with applicants for new membership and existing member firms that request corporate changes or material business transactions. Expertise in Financial and Operations Compliance (FINOPS) is required.

• Perform subject matter expert review, analysis, and recommendation of assigned new membership applications and changes in business submissions from a FINOPS perspective with prescribed timelines, working with the Membership Intake Manager (FINOPS) and FINOPS as appropriate.
• Provide solid business judgment on the handling of complex and innovative membership issues such as onboarding crypto‑asset trading platforms.
• Prepare a written plan for the analysis of assigned membership applications and changes in business to identify key areas for review and potential issues that require consultation with policy, compliance, and other stakeholders.
• Ensure complete tracking and documentation of analysis for oversight and internal/external reporting.
• Communicate verbally and/or in writing with member firms and applicants regarding their application or transaction, ensuring complex matters are clearly and concisely stated.
• Assist in maintaining written procedures for the FINOPS analysis of membership applications and in‑scope changes in business submissions.
• Contribute to process improvement and implementation related to the application intake and analysis processes.
• Complete relevant training to develop and maintain expertise on new business models and products related to membership applications and transaction submissions.
• Represent Membership Intake effectively in meetings with internal and external stakeholders, including senior management, applicants or their counsel, and CSA jurisdictions.

• Professional Accounting Designation.
• Minimum of 5 years of experience in the financial sector audit practice of a national accounting firm, enterprise risk management consulting practice, or similar risk management experience at a financial services provider.
• Completion of an exam or course that demonstrates competency in the investment industry such as the Canadian Investment Regulatory Exam (CIRE), the Retail Securities Exam, the Institutional Securities Exam, or legacy courses such as the Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH) Course.
• Completion of a CFO‑related exam or course (e.g., Chief Financial Officer Exam, CFO Qualifying Exam, or CICA In‑Depth Securities Course).
• Experience and strong knowledge of regulatory processes and associated rules.
• Excellent understanding of documenting business processes, identifying internal controls, and developing compliance tests.
• Solid understanding of CIRO Rules relating to new membership applications and changes in business.
• Ability to detect, analyze, and evaluate complex deviations, deficiencies, and non‑compliance with generally accepted accounting principles and IFRS, internal control objectives, rules, and policies.
• Strong problem‑solving and critical‑thinking skills to address complex issues.
• Ability to manage competing and/or changing priorities within prescribed timelines.
• Excellent oral and written communication skills, especially for explaining…