Senior Registration Officer

We invite applications for the Senior Registration Officer position at CIRO / OCRI
.

As a self‑regulatory organization, our mission is to promote healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures. At the Canadian Investment Regulatory Organization (CIRO), we are committed to setting high regulatory standards for the investment industry, safeguarding investors, and supporting the integrity of Canada’s capital markets.

Title: Senior Registration Officer

Department: Registration

Location: Toronto, ON

Employment Type: Regular, full‑time

Working Arrangement: Hybrid

Seniority Level: Mid‑Senior

Job Function: Administrative

The Senior Registration Officer evaluates and approves registration applications, ensuring all regulatory requirements regarding proficiency, experience, integrity, and conflicts of interest are met in accordance with CIRO, National Instruments, and securities acts. The role helps protect investors by applying “fit and proper” standards and determining regulatory action when concerns arise.

• Handle registration and approval applications of moderate to complex nature, reporting to the Manager Registration.
• Conduct extensive research, analysis, and review of information pertaining to registration, ensuring ongoing suitability based on criteria and type of registration.
• Gather and evaluate all necessary information to make written recommendations for matters with special circumstances, as outlined in CIRO guidelines, and for discretionary exemptions from registration requirements under CIRO Rules.
• Identify and monitor ongoing registration requirements to ensure that registered firms and individuals remain qualified and handle detrimental issues appropriately.
• Develop subject‑matter expertise on CIRO’s rules, policies, by‑laws, regulations governing registration, and relevant portions of securities legislation and National Instruments.
• Assist Dealer Members’ registration personnel with registration filings through the National Registration Database.
• Liaise with CIRO Regional Offices and provincial Securities Commissions to discuss regulatory requirements and exchange information on individual applicant filings.

• Sound knowledge of CIRO Rules and related policies, as well as standards and practices of the Canadian Securities Administrators.
• Strong analytical, research, organizational, and problem‑solving skills; detail oriented.
• Ability to work in fast‑paced, high‑volume environments.
• Strong written and verbal communication skills.
• Strong service skills when dealing with sensitive information and remaining patient under pressure.
• Ability to handle confidential information with sensitivity.
• Good file‑management and organizational skills.
• Ability to work proactively, resourcefully, and independently to prioritize and complete tasks within established service timelines.
• Proficiency with MS Word, Excel, and a willingness to learn new software/programs.
• Ability to work independently and collaboratively with other people and departments.

• Proficiency with the National Registration Database.
• Post‑secondary education (university degree or college diploma).
• Completion of an exam or course demonstrating competency in the investment industry (e.g., Canadian Investment Regulatory Exam, Retail Securities Exam, Institutional Securities Exam, Canadian Securities Course, Conduct and Practices Handbook).
• Minimum five years of financial industry experience, preferably in registration at a dealer member, another self‑regulatory organization, securities commission, or relevant arena with strong analytical and synthesis capacity.

• Competitive total rewards program including performance‑based bonus.
• Hybrid work environment.
• Employer‑paid health benefits and spending account with flexibility to meet individual or family needs.
• Defined contribution pension plan with company matching starting on your first day.
• Paid flex days and wellness days.
• Maternity and parental leave top‑up.
• Paid continuous learning and continuing development including…