Senior Financial & Operations Examiner

40 Temperance Street

Suite 2600

Toronto, ON , CAN

As a self‑regulatory organization, the Canadian Investment Regulatory Organization (CIRO) is committed to setting high regulatory standards for the investment industry, safeguarding investors, and supporting 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 Financial & Operations Compliance Examiner is accountable for analyzing and independently verifying the accuracy and completeness of the submitted information by member firms within the context of the regulatory reporting framework.

• Perform complex field examinations of the operations of assigned member firms.
• Based on the examination assignment given by the Manager, perform preliminary research and information gathering activities for assigned projects; identify applicable policies and regulations, review prior examination reports and working papers.
• Plan the examination of member firms, including performing a risk evaluation and determining the necessary customization to the standard examination procedures and/or scope. The revised program is reviewed by the responsible Manager/Director and approved by the responsible Vice President.
• Review complex financial and/or management procedures to evaluate the adequacy of internal controls.
• Interview staff involved in performing the procedures.
• Develop documentation describing the workflow; identify desired control objectives, evaluate how they are being met, and assess risk potential as required.
• Ensure compliance with minimum audit requirements prescribed under CIRO rules and policies.
• Supervise examiners in the field to ensure examination procedures are properly conducted within established time frames.

Must-haves:

• 5 years’ experience as an auditor at a Chartered Professional Accounting firm or similar experience with 1‑2 years within the securities or regulatory environment.

Nice to Haves:

• Excellent understanding of how to document business processes, identify related internal controls, and develop appropriate compliance tests.
• Solid understanding of the objectives of the examination process.
• Strong audit and examination techniques (interviewing, documentation, development of test plans to identify scope and extent of required testing).
• Superior knowledge of the Canadian Auditing Standards and International Financial Reporting Standards.
• Ability to communicate complex matters both orally and in writing, in a clear, concise, complete, courteous, and logical manner to ensure members’ understanding and responsiveness.
• 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.
• Completion of the Canadian Investment Regulatory Exam and the Securities Exam, or any other related courses, are considered assets.

• 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 Plan with company matching that starts on your first day of employment.
• Paid flex days and sick days.
• Maternity Leave Of Absence/Paternity Leave Of Absence top up.
• Paid continuous learning and continuing development including designations.

CIRO is an equal opportunity employer and is committed to providing employment accommodation in accordance with the Ontario Human Rights Code and the Accessibility for Ontarians with Disabilities Act, 2005 (AODA). CIRO will provide accommodation to job applicants with disabilities throughout the recruitment process. Should you require accommodation, please contact Human Resources.

We are committed to creating an inclusive and barrier‑free recruitment and selection process across Canada. We welcome applications from all qualified individuals and are dedicated to providing accommodations upon request for candidates participating in all aspects of the recruitment process, in accordance with applicable human rights and accessibility legislation.