Step into a pivotal role with CIRO as a Senior Business Conduct Compliance Examiner in Toronto. Lead compliance examinations while promoting investor protection and market integrity.
This full-time position within the Business Conduct Compliance department requires you to assess compliance programs of Dealer Member firms. You'll facilitate communication about examination progress with senior management and compile comprehensive reports on findings. Your expertise will shape examination practices and help mentor upcoming examiners.
Key Responsibilities:
• Execute compliance examinations on dealership firms
• Document processes and evaluate regulatory compliance
• Initiate discussions to ensure transparency in findings
• Train and supervise junior examiners
• Keep abreast of regulatory trends and industry standards
Requirements:
• Undergraduate degree required
• Minimum 4 years of related experience required
• Certification in investment competency necess...