EDUCATION AND EXPERIENCE:

• Undergraduate degree
• The following courses are required: Canadian Securities Course, and Examination based on the Conduct and Practices Handbook for Securities Industry Professionals,
• The following courses are an asset: Derivatives Fundamental Course, Branch Managers Course and Chief Compliance Officers Course
• Total of 3 years in a compliance, audit or supervisory function with a Dealer Member, or 3 years other related employment with a securities regulatory organization.

KEY SKILLS AND COMPETENCIES:

• Knowledge of securities industry, CIRO Dealer Members and their activities.
• Ability to quickly understand the risks associated with new business lines or products and to formulate practical examination procedures to address them.
• Effective written and oral communication skills
• Attention to detail and ability to exercise sound judgement
• Professional presentation and manner
• Ability to work independently in a team-oriented environment.
• Ability to multi-task, adhere to timelines and work under pressure in different environments
• Interest in ongoing learning and professional development in a compliance capacity
• Motivated to make a difference
• Ability to travel
  While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted.
  CIRO is committed to employment practices that are inclusive and accessible. Accommodations for individuals with disabilities are available. Should you require accommodation, please contact Human Resources.
  

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• Gather information to assess a Dealer Member’s business activities to determine the scope of the review and the areas of principal risk, in consultation with the lead examiner
• Assess the risk of assigned examination areas and follow procedures to ensure that examination objectives are achieved and conclusions are adequately supported
• Interact with senior management, supervisory and compliance staff of a Dealer Member to evaluate the effectiveness of the firm’s controls
• Draft examination findings in consultation with the lead examiner and assist in the preparation of the examination report that is written in plain language
• Actively contribute to team discussion, openly sharing experiences and ideas to improve examination practices and departmental goals