Position Title: Director, Member Compliance & Registration, Pacific

Department: Management Western Canada

Location: Vancouver

Employment Type: Regular

Working Arrangement: Full-time (Hybrid)

About Us

As a self-regulatory organization, the Canadian Investment Regulatory Organization (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.

About this Opportunity

The Director, Member Compliance and Registration, Pacific, supports the Regional Vice-President, Western Canada in the efficient execution of member regulation and registration related regulatory functions performed in the Vancouver office and is responsible for the direct management of the Vancouver office.

Core Responsibilities:

• Work closely with the Regional VP, Western Canada and the senior western team to deliver effective regulation.

• Support CIRO’s strategic initiatives in British Columbia.

• Directly supervise the managers of Business Conduct Compliance, Financial & Operations Compliance, and Registration in the Vancouver office.

• Ensure member registration is conducted efficiently and effectively in a timely manner and consistent with the delegated authority from the regulatory body.

• Identify operational issues in each regulatory department and implement changes as required with department heads.

• Monitor performance of each department for adherence to benchmarks.

• Undertake key decisions as delegated by the Regional VP, Western Canada.

• Assist with the efficient handling of new member applications and manage resignations for firms with head offices in British Columbia.

• Identify emerging regulatory issues in the Pacific Region.

• Build and maintain key stakeholder relationships with other regulatory bodies.

• Serve as the primary contact and support to the Pacific Regional Council.

• Act as backup representative of CIRO in Vancouver to media and public as needed.

• Understand each CIRO member firm’s business and regulatory risks.

What You Bring

Must-haves

• General undergraduate degree

• Certified Public Accountant (CPA) or Chartered Financial Analyst (CFA) designations are strongly preferred

• 10 years of industry experience in compliance or operations

• Experience in building and managing an effective team

• Major of industry courses

• Superior knowledge of CIRO rules and requirements and other capital market regulations

Nice to Haves

• Excellent verbal and written communication

• Strong management and staff development skills

• Strong interpersonal skills with an ability to effectively engage with senior management and business heads

• Ability to identify issues, evaluate and provide advice on alternative approaches

• Change management and business process skills, with the ability to work on multiple projects at the same time

• Ability to instill confidence in senior industry representatives and other regulators

• Strong understanding of the various departments at CIRO to be able to efficiently source information and advice

What we offer:

• Competitive total rewards program including 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 wellness days*

• Maternity and Parental Leave top up *

• Paid continuous learning and continuing development including designations*

• -Asterisked offerings are not applicable to contracts

Why the Canadian Investment Regulatory Organization (CIRO):

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.

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 $153,500 -$189,500 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