Director, Registration

at  CIRO OCRI

SKILLS AND COMPETENCIES:

• Bachelor of Laws Degree
• Membership in the Law Society of Ontario or other Canadian jurisdiction
• At least ten years’ experience in private practice, in-house or regulatory position
• At least 10 years of relevant industry, legal or regulatory experience
• Solid understanding of CIRO rules as it applies to registration related matters
• Direct experience on registration related matters an asset
• Solid knowledge of the securities regulatory framework
• In-depth knowledge of, and sound judgment in applying, relevant securities legislation and CIRO requirements, particularly those relating to registration
• Strong working knowledge of administrative law principles
• Strong working knowledge of the functioning of the capital markets and the securities industry, including CIRO Dealer Member operations
• Excellent communication skills
• Excellent people management skills
• Excellent organizational skills

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.

CORE RESPONSIBILITIES:

• Ensure the fair, efficient and consistent treatment of registration matters, including but not limited to Investment Dealer approval applications, fit and proper reviews and proficiency exemptions
• Manage the Toronto office of the CIRO Registration department (excluding the Registration Technology), which would include the review and approval of registrations applications, submissions and reviews (e.gs. approval applications, fit and proper reviews, proficiency exemptions)
• Provide legal support to the national Registration team on the interpretation of registration related rules, registration applications, submissions, and reviews
• Manage sensitive and/or high-profile registration matters and the timely escalation of these matters to the Vice-President, Registration
• Oversee the development and delivery of training programs as required for the Registration department
• Support the VP, Registration on strategic or other key projects
• Collaborate with and/or support the Proficiency team on the development, interpretation, and application of proficiency related rules, as required
• Maintain strong working relationship with CIRO’s Membership Intake teams as it relates relevant parts of Membership Transaction reviews including the review of individual registration requirements
• Promote collaboration and teamwork within the Registration department and across CIRO, including participating in cross-organizational initiatives to support CIRO’s vision and mandate
• Maintain and develop effective working relationships with stakeholders in relation to registration matters, including staff from the provincial securities commissions, and CIRO advisory committees
• Assist the Vice-President, Registration with department reports as required

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 a regulator, we understand that we are all investors. Therefore, a career with us is a career with purpose, protecting our future.