About this OpportunityThe Manager, Financial & Operations Compliance manages field examinations to ensure that Dealer Member firms comply with CIRO's prudential rules and are financially and operationally viable.
Core Responsibilities:- Manage the "prudential regulatory oversight" of a portfolio of Dealer Member firms to ensure that the risks to the investing public, CIRO, provincial securities commissions and the Canadian Investor Protection Fund (CIPF) are appropriately mitigated
- Ensure that regulatory filings from Dealer Member firms are prepared in accordance with CIRO rules and filed on a timely basis
- Ensure the effective and efficient planning and execution of the examination process
- Initiate timely and appropriate regulatory intervention measures to minimize investor loss by Dealer Member firms facing financial or operational stress
- Ensure department objectives are met through effective people leadership, training and development of the department
What You Bring Education and Experience - Accounting designation, CPA preferred
- Completion of an exam or course that demonstrates competency in the investment industry and role of the CFO such as the Chief Financial Officer Exam or other legacy courses such as the CFO Qualifying Exam
- Completion of an exam or course that demonstrates competency in the investment industry such as the Canadian Investment Regulatory Exam (CIRE), and/or Retail Securities Exam and/or Institutional Securities Exam, or other legacy courses such as the Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH) Course
- Completion of the CICA In-Depth Securities Course
- 5 years of experience in a regulatory or securities environment (including brokerage audit) with at least 2 years of people leadership
Key Skills and Competencies:- Strong knowledge of International Financial Reporting Standards (IFRS) and the Canadian Auditing Standards (CAS)
- Strong audit skills
- Strong working knowledge of CIRO prudential rules
- Ability to detect, analyze and evaluate complex issues for capital implications
- Ability to communicate complex issues in a clear, concise, and professional manner
- Strong working knowledge of Enterprise Risk Management frameworks and practices at regulated financial institutions
What we offer- Competitive total rewards program including 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 wellness days*
- Maternity and Parental Leave top up *
- Paid continuous learning and continuing development including designations*
*Offerings are not applicable to contracts
CIRO is a pan-Canadian organization that oversees all investment dealers and trading activity in marketplaces across Canada. This position requires regular communication and collaboration with employees in CIRO regional offices and with stakeholders across Canada. Proficiency in English is required due to the frequent interactions with internal and external English-speaking members, clients, registered representatives, firms, Canadian provincial and territorial securities regulators, and employees located outside Quebec. For positions based in Quebec, proficiency in both English and French is required to effectively perform the duties of the role and communicate with stakeholders in both official languages.
Additional Information- This posting reflects an active vacancy on our team
- We use automated (AI) enabled technology to support aspects of candidate sourcing, screening, and communications. Applications are reviewed by our hiring team and hiring decisions are made by people.
- The hiring range for this position is $115,000 - $125,000. The final compensation offered will be based on the successful candidate's knowledge, skills, education, training, experience, internal equity, and external market considerations.
We thank all applicants for their interest; however, only those selected for further consideration will be contacted.
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