Trading Conduct Compliance Examiner [12-month Contract] - #192741

Position Title: Trading Conduct Compliance Examiner

Department: Trading Conduct Compliance

Location: Calgary, Montreal, Toronto, Vancouver

Status: Contract 12 months (Hybrid)

Day in the life of:

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.

Our Trading Conduct Compliance (TCC) team is integral the protection of capital markets. As a TCC Examiner, you and your team will conduct fieldwork, including examining assigned Dealer Members’ processes, procedures and supervision for their compliance with trading related Requirements of the Universal Market Integrity Rules (UMIR) and the Dealer Member Rules (DMR).

Core Responsibilities:

• Conduct reviews of Dealer Members' equity trading records and policies and procedures for compliance with securities industry rules and regulations including the Universal Market Integrity Rules and the Investment Dealer and Consolidated Rules
• Conduct reviews of Dealer Members' fixed income, OTC equity and derivatives policies and procedures
• Analyze the findings from compliance reviews, identifying any deficiencies or breaches of trading regulations
• Prepare comprehensive reports detailing review results and analysis for internal stakeholders and Dealer Members, clearly communicating key findings
• Provide formal recommendations to Dealer Members to address any compliance gaps and ensure all deficiencies are properly documented and corrected
• Communicate key regulatory concerns and issues identified during reviews to Dealer Members, promoting an understanding of regulatory expectations
• Offer support to Dealer Members on improving compliance processes, addressing deficiencies, and implementing corrective actions
• Respond to compliance-related inquiries from Dealer Members, offering tailored advice and clarification on UMIR and IDPC Rules
  
  
  

Key Skills and Competencies: 

Must-haves

• Successful completion of the Canadian Securities Course, Conduct and Practices Handbook
• Successful completion of Traders Training Course; or Partners, Directors, Officers or other compliance level exams are assets
• Minimum of five years working in the securities industry, preferably in a compliance function at a Dealer Member
  
  
  

Nice to Haves

• Comprehensive understanding of the equity transaction process, trading, and back-office systems
• Knowledge of securities industry rules and regulations
• Ability to organize and to work without supervision
• Ability to work inter-dependently in a team environment
• Ability to work in a cross-functional environment
• Strong project management, delegation, and conflict resolution skills
• Excellent verbal and written communication skills, including some public speaking
• Some travel is required
• Previous experience on a Canadian equity buy-side or sell-side trading desk or trading compliance is an asset
  
  
  

What we offer:

• 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
• Vacation days
• Maternity Leave Of Absence /Paternity Leave Of Absence top up
• Paid continuous learning and continuing development including designations.
  
  
  

Why the Canadian Investment Regulatory Organization (CIRO):

Our purpose and our impact: 

With offices across Canada - from Vancouver to Montreal, our mission is to promote healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures. As regulators, we understand that we are all investors, and therefore a career with us is a purposeful career: protecting our future.

Culture and Working Environment:

Life at CIRO is purpose and performance- driven. We foster an inclusive culture where teamwork, a forward-thinking attitude, and integrity are at the core of everything we do. This creates an environment where employees thrive, grow, and are empowered to learn and contribute their best. 

Joining CIRO means becoming part of a dynamic and transparent organization that values accountability and is committed to maintaining the highest standards of regulatory oversight in the financial industry. 

Looking for a career where you can safeguard the integrity of Canadian markets? Join CIRO and be part of the team that secures our financial future. 

Our Commitment: 

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. 

CIRO is a pan-Canadian organization that oversees all investment dealers and trading activity in marketplaces across Canada. This position requires the ability to communicate with employees in CIRO regional offices and other CIRO stakeholders across Canada. Accordingly, proficiency in both official languages of Canada (French and English) is mandatory. Due to the frequent interactions with internal and external English-speaking members, clients, representatives, firms, Canadian provincial and territorial securities regulators, and employees situated outside of Quebec, the position requires a fully bilingual candidate. 

While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted. 

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