Compliance Officer
at CIRO
Toronto, ON, Canada -
Start Date | Expiry Date | Salary | Posted On | Experience | Skills | Telecommute | Sponsor Visa |
---|---|---|---|---|---|---|---|
Immediate | 03 Dec, 2024 | Not Specified | 05 Sep, 2024 | 2 year(s) or above | Directors,Canadian Securities Course,Completion,Disabilities | No | No |
Required Visa Status:
Citizen | GC |
US Citizen | Student Visa |
H1B | CPT |
OPT | H4 Spouse of H1B |
GC Green Card |
Employment Type:
Full Time | Part Time |
Permanent | Independent - 1099 |
Contract – W2 | C2H Independent |
C2H W2 | Contract – Corp 2 Corp |
Contract to Hire – Corp 2 Corp |
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