Sr Membership Intake Examiner; Business Conduct Compliance

Sr Membership Intake Examiner (Business Conduct Compliance)

Position Title: Sr Membership Intake Examiner (Business Conduct Compliance)

Department: Office of the Investor, Member Intake, and Innovation

Location: Toronto, Vancouver, Calgary, Montreal

Status: Regular Full-time (Hybrid)

Hiring Range: $92,000-$115,000

The Membership Intake Senior Examiner 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 that propose changes to their business and operations. The Membership Intake Senior Examiner will have expertise in the areas pertaining to Business Conduct Compliance (BCC).

• Perform subject matter expert review, analysis, and recommendation of assigned Dealer Member transactions from an MI-BCC perspective, working in consultation with the relevant stakeholders within MI and within the impacted 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-BCC 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-BCC 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.

• Undergraduate degree
• A minimum of 5 years’ experience in a compliance, audit or supervisory function with a Dealer Member, securities regulator or self‑regulatory organization
• Comprehensive understanding of CIRO’s business conduct requirements for Dealer Members.
• Experience and strong knowledge of regulatory processes and requirements
• Successful completion of the Canadian Securities Course and Conduct & Practices handbook.
• 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
• In-depth expertise in Business Conduct Compliance.
• Strong ability to meet tight deadlines, adept at multi‑tasking amidst competing priorities, and agile in approach to tasks
• Strong understanding of CIRO Rules and Canadian securities laws
• Ability to detect, analyze, and evaluate complex deviations, deficiencies, and non‑compliance with generally accounting principles and IFRS, internal control objectives, rules, and policies
• Strong problem‑solving and critical‑thinking skills to address complex issues
• 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, Trading Conduct Compliance and Registration, is considered an asset

• 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…