Business Conduct Compliance Examiner

Elevate your career as a Business Conduct Compliance Examiner at CIRO in Toronto. This hybrid role involves rigorous examinations of Dealer Member firms to ensure compliance with regulatory standards.

As a full-time member of the Business Conduct Compliance team at CIRO, you will conduct field reviews of business activities and interpret complex dealer member rules. This role requires strong analytical skills for risk assessments and effective communication to report findings. You'll collaborate with an examination team to enhance compliance across the investment industry.

Key Responsibilities:

• Conduct in-depth risk assessments of dealer business activities

• Perform examinations and evaluate internal controls

• Document findings and compile comprehensive examination reports

• Recommend process improvements based on evaluations

• Collaborate across compliance departments for planning and scheduling

Requirements:

• 2-4 years of compliance or audit experience

• Relevant industry certification (e.g., CIRE, CSC, CPH)

• Strong analytical and communication skills

• Ability to work independently and under pressure

• Willingness to travel for site examinations

Join CIRO's mission to promote healthy capital markets through effective regulatory practices.
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