EDUCATION AND EXPERIENCE:

• University degree, preferably in finance or economics.
• Canadian Securities Course
• Conduct and Practices Handbook Course
• 5-10 years of financial industry experience including:
  o Strong understanding of CIRO’s Dealer Member rules and related policies, relevant securities legislation, policies and instruments.
  o Good knowledge of a Dealer Member’s operations, structure, the client’s relationship with a dealer, trading, settlement and clearing, and compliance systems and standards.
  o Good knowledge and understanding of various securities products.

Required Skills and Competencies:

• Strong written and oral communications skills.
• Strong research, analytical and problem solving skills.
• Good customer service, dispute-resolution and escalation skills.
• Good file management and organizational skills.
• Effective networking and relationship-building skills.
• Effective interpersonal and change-management skills.
• Demonstrated ability to work proactively and independently in order to prioritize and complete tasks within established timelines.
• Demonstrated ability to manage, mentor and coach others.
• Proficiency with a variety of computer software applications.

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

• Collect and analyze financial documents and prepare comprehensive reports and written responses that are timely, accurate and conveyed in plain language.
• Accurately assess and recommend the appropriate course of action for regulatory complaints related to dealer conduct.
• Maintain detailed records of regulatory complaints and adhere to CIRO’s policies and procedures for reviewing, analyzing, tracking and recording all Case Assessment matters.
• Identify and escalate sensitive, urgent or unusual regulatory issues, evolving trends, policy issues or concerns.
• Assist with hiring, training and mentoring Case Assessment staff.
• Assist with reporting and policy initiatives