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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