Trading Conduct Compliance Examiner [12-month Contract ]

Position Title: Trading Conduct Compliance Examiner

Department: Trading Conduct Compliance

Location: Toronto

Status: 12-month Contract (Hybrid)


Day in the life of:

Examine Dealers’ processes, procedures and supervision for their compliance with trading related Requirements as defined in the Universal Market Integrity Rules (UMIR) and the Investment Dealer and Partially Consolidated Rules (IDPC Rules). In addition, the examiner will participate in the review of trading related aspects of fixed income and OTC products.


Core Responsibilities:

The key activities include:

Field Work

Conduct reviews of Dealers’ equity trading records and supervision policies and procedures for compliance with securities industry rules and regulations
Conduct reviews of Dealers’ fixed income, OTC equity and derivatives procedures and policies
Analyze results of reviews
Prepare reports for CIRO management and Dealers about review status, results and analysis
Advise Dealers of review results
Evaluate compliance with trading related requirements (UMIR and IDPC Rules as applicable) and ensure identified deficiencies are addressed and where necessary, assist in the preparation of referrals to Enforcement.
Sharing Best Practices

Advise Dealers of issues found in reviews and key industry concerns
Advise and support Dealers with effective methods to improve processes and resolve deficiencies
Respond to compliance related inquiries from Dealers.
Special Projects

Work on projects and industry studies
Prepare and deliver presentations to industry about compliance issues.

Education and Experience:

Successful completion of the Canadian Securities Course, Conduct and Practices Handbook
Successful completion of Traders Training Course; or Partners, Directors, Officers or other compliance level exams are assets
Minimum of five years working in the securities industry experience, preferably in a compliance or trade desk function at a Dealer
Knowledge of securities industry rules and regulations
Comprehensive understanding of equity and fixed income transaction process, trading, and back-office systems
Previous experience on a Canadian equity buy-side or sell-side trading desk or trading compliance is an asset.

Key Skills and Competencies:

Ability to organize and to work without supervision
Ability to work inter-dependently in a team environment
Ability to work in a cross-functional environment
Strong project management, delegation, and conflict resolution skills
Excellent verbal and written communication skills, including some public speaking
Some travel is required

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.

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.


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.

While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted.

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