Position Title: Senior Trading Conduct Compliance Examiner Department: Trading Conduct Compliance (TCC) Location: Montreal Status: Regular Full-time (Hybrid) Day in the life of: The Successful Candidate will assist the Manager in providing leadership to a team of Trading Conduct Compliance Examiners. The role of Trading Conduct Compliance is to examine Dealers’ supervision systems for equity, fixed income trading and cryptocurrency as well as to conduct reviews of Alternative Trading Systems. In addition to leading exams in this area, this position will assist with projects as assigned.

Core Responsibilities:

• Lead and participate in reviews of Dealers’ equity trading records and supervision policies and procedures for compliance with securities industry rules and regulations
• Assist and direct team members in completion of field work
• Mentor team members on processes, approaches and subject matter
• Establish an open communication environment with positive feedback between team members
• Perform first level review of files and examination reports
• Make recommendations for referrals to Enforcement
• Prepare reports for CIRO management and Dealers about review status, results and analysis
• Provide leadership in the absence of the manager
• Assist in tracking files and preparing status reports
• Advise and support Dealers about effective methods to improve processes and resolve deficiencies
• Respond to compliance-related complaints and inquiries from Dealers
• Prepare and deliver presentations to industry about compliance issues

Education/Experience:

• Minimum of five years working in the securities industry
• Minimum two years’ experience as a Trading Conduct Compliance Examiner or equivalent
• Comprehensive understanding of the equity transaction process,front-end trading and back-office systems
• Intimate knowledge of the Dealers’ operations (systems, procedures, policies, etc.)
• Knowledge of securities industry rules and regulations
• Successful completion of the Canadian Securities Course and Conduct and Practices Handbook Course
• Successful completion of the Traders Training Course, the Partners, Directors and Senior Officers Course or other compliance level exams is an asset
• Experience in an audit/review role
• Knowledge of management practices
• Previous experience on trading desk or in a trading compliance role in Canada is an asset.

Key Skills and Competencies:

• Ability to work independently on projects and industry studies as directed and appropriate
• Strong project management, delegation and conflict resolution skills
• Excellent verbal and written communication skills, including some public speaking
• A proven commitment to teamwork
• Thorough understanding of CIRO policies and procedures that pertain to the examination of trading function in Dealers
• Good understanding of the various departments in CIRO to be able to efficiently source information and advice
• Bilingual (French/English) is mandatory

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.

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.

CIRO is a pan-Canadian organization that oversees all investment dealers and trading activity in marketplaces across Canada. This position requires the ability to communicate with employees in CIRO regional offices and other CIRO stakeholders across Canada. Accordingly, proficiency in both official languages of Canada (French and English) is mandatory. Due to the frequent interactions with internal and external English-speaking members, clients, representatives, firms, Canadian provincial and territorial securities regulators, and employees situated outside of Quebec, the position requires a fully bilingual candidate.

No part of our recruitment process uses artificial intelligence (AI) to screen, triage, or assess candidates. All applications are reviewed by our hiring team.

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

#hiring