Compliance Officer

at  CIRO

Toronto, ON, Canada -

Start DateExpiry DateSalaryPosted OnExperienceSkillsTelecommuteSponsor Visa
Immediate03 Dec, 2024Not Specified05 Sep, 20242 year(s) or aboveDirectors,Canadian Securities Course,Completion,DisabilitiesNoNo
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Description:

EDUCATION AND EXPERIENCE:

  • 2-3 years in a compliance, regulatory or audit function.
  • A university degree in business or accounting.
  • Completion of the Canadian Securities Course, Branch Managers Course and/or the Partners, Directors and Senior Officers (PDO) Course considered an asset.

KEY SKILLS AND COMPETENCIES:

  • Solid knowledge of mutual fund industry and audit requirements.
  • Ability to travel extensively in the GTA and some travel required within Canada.
    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.

    LI-HYBRID #hiring

Responsibilities:

  • Testing compliance with regulatory requirements in accordance with the examination program.
  • Conducting interviews with supervisory staff and representatives at Member firms.
  • Documenting a working paper file, including the testing performed and the supporting evidence obtained.
  • Preparing reports that document any identified deficiencies and working with Member firms to establish required actions to resolve the deficiencies.
  • Reviewing new Member applications and performing examinations of new applicants to determine compliance with CIRO requirements


REQUIREMENT SUMMARY

Min:2.0Max:3.0 year(s)

Financial Services

Accounts / Finance / Tax / CS / Audit

Finance

Graduate

Business or accounting

Proficient

1

Toronto, ON, Canada