Senior Financial & Operations Examiner at CIRO / OCRI

Toronto, Ontario, Canada -

Full Time

Start Date

Immediate

Expiry Date

02 Oct, 26

Salary

115000.0

Posted On

04 Jul, 26

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Auditing, Financial Examination, Internal Controls, Risk Evaluation, Regulatory Compliance, Business Process Documentation, Interviewing, Test Plan Development, Canadian Auditing Standards, International Financial Reporting Standards, Analytical Thinking, Written Communication, Oral Communication, GAAP, IFRS, Regulatory Reporting

Industry

Financial Services

Description

Day in the life of: As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) [https://www.ciro.ca/about-ciro] is committed to setting high regulatory standards for the investment industry, safeguarding investors, and supporting the integrity of Canada’s capital markets. Join a growing team and contribute to the dynamic and complex world of Canadian capital markets. The Senior Financial & Operations Compliance Examiner is accountable for analyzing and independently verifying the accuracy and completeness of the submitted information by member firms within the context of the regulatory reporting framework. Core Responsibilities: * Perform complex field examinations of the operations of assigned member firms. * Based on the examination assignment given by the Manager, performs preliminary research and information gathering activities for assigned projects; identify applicable policies and regulations, review prior examination reports and working papers * Plan the examination of Member firms. This includes performing a risk evaluation of the Member and determining the necessary customization to the standard examination procedures and/or scope. The revised program is reviewed by the responsible Manager/Director, and is approved by the responsible Vice President * Review complex financial and/or management procedures to evaluate the adequacy of internal controls * Interview staff involved in performing the procedures * Develop documentation describing the workflow; identify desired control objectives (based on defined minimum requirements; identify how control objectives are being met; evaluate risk potential, as required * Ensure compliance with minimum audit requirements prescribed under CIRO rules and policies * Supervise Examiners in the field to ensure examination procedures are properly conducted within established timeframes. Key Skills and Competencies: Must-haves * Chartered Professional Accountants designation * 5 years’ experience as an auditor at a Chartered Professional Accounting firm or similar experience with 1-2 years within the securities or regulatory environment Nice to Haves * Excellent understanding of how to document business processes, identify related internal controls, and develop appropriate compliance tests * Solid understanding of the objectives of the examination process * Strong audit and examination techniques, (interviewing, documentation, development of test plans to identify the scope and extent of required testing) * Superior knowledge of the Canadian Auditing Standards and International Financial Reporting Standards * Ability to communicate complex matters both orally and in writing, in a clear, concise, complete, courteous, and logical manner to ensure Members’ understanding and responsiveness * Ability to detect, analyze, and evaluate complex deviations, deficiencies, and non-compliance with generally accepted accounting principles and IFRS, internal control objectives, rules and policies * The Canadian Investment Regulatory Exam and the Securities Exam, or any other related courses, are considered assets. What we offer: * Competitive base salary in alignment with market * Performance based bonus * * Hybrid work environment * Employer paid Health Benefits and Spending Account that offer flexibility to meet your individual or family needs as of day one * Defined Contribution Pension Plan with company matching that starts on your first day of employment * * Paid flex days and sick days * * Vacation days * Maternity Leave Of Absence/Paternity Leave Of Absence top up * * Paid continuous learning and continuing development including designations *Asterisked offerings are not applicable to contracts Why the Canadian Investment Regulatory Organization (CIRO): 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 regulators, we understand that we are all investors, and therefore a career with us is a purposeful career: protecting our future. 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.  At CIRO, you’ll be part of an organization driven by Pride in Excellence, a strong Focus on Well‑being, and A Shared Purpose that connects our people to meaningful work. We’re committed to fostering an inclusive, supportive environment where you can grow and make an impact. Learn more about what it’s like to build your career at CIRO by exploring our Careers page: https://www.ciro.ca/about-ciro/careers [https://www.ciro.ca/about-ciro/careers] Our Commitment:  CIRO is an equal opportunity employer and is committed to providing employment accommodation in accordance with the Ontario Human Rights Code and the Accessibility for Ontarians with Disabilities Act, 2005 (AODA). CIRO will provide accommodation to job applicants with disabilities throughout the recruitment process. Should you require accommodation, please contact Human Resources.   We are committed to creating an inclusive and barrier-free recruitment and selection process across Canada. We welcome applications from all qualified individuals and are dedicated to providing accommodations upon request for candidates participating in all aspects of the recruitment process, in accordance with applicable human rights and accessibility legislation. Our Recruitment Process: * This posting reflects an active vacancy on our team * We use automated (AI) tools to assist with candidate sourcing and communications. Applications are reviewed by our hiring team and hiring decisions are made by people. * This role has a hiring range of $93,000 - $115,000 with the placement and offered salary being based on knowledge, skills, education/training and experience, as well as external market conditions and internal equity. While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted. #LI-HYBRID #Hiring

Responsibilities

The role involves performing complex field examinations of member firms to verify the accuracy of regulatory reporting. Key duties include evaluating internal controls, conducting staff interviews, and supervising other examiners in the field.