Senior Membership Intake Examiner, TCC

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
• Hybr…