Position Title: Counsel, Registration

Department: Registration

Location: Toronto

Status: Permanent, Full-time (Hybrid)

Day in the life of:

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.

Reporting to the Director, Registration, the Counsel, Registration provides support to the Director with respect to legal advice regarding registration operations under securities legislation and CIRO rules (including in respect of the National Registration Database). The Counsel provides operational support on complex and high-risk filings and escalations, advice on standards, drafts policies and procedures and regulatory publications impacting the department and provides national legal support on registration issues where required.

Core Responsibilities:

• Provides sound and impactful legal advice in a high-volume environment regarding registration and associated review processes, with a focus on regulatory compliance.

• Applies knowledge of CIRO rules, securities legislation, national instruments and guidance to business situations to provide sound and practical advice for the Registration function commensurate with CIRO’s mandate.

• Handles and supports the processing of complex and high-risk filings and escalations, including on exemptions, Fit and Proper reviews for individuals and the employee proposals for the imposition of terms and conditions on registration.

• Diligently conducts investigative processes in support of suitability reviews of individuals further to CIRO’s investor protection mandate, including requests documents and information and interviews on the record.

• Communications with filers and counsel, as part of navigating complex and high-risk matters to appropriate resolutions.

• Works collaboratively with Enforcement Counsel on hearings and appeals where necessary.

• Handles and supports complex member filings, including ownership filings and acquisition notices required under National 31-103, requests for approvals under CIRO rules and membership resignations.

• Works with other CIRO stakeholders to ensure consistent application of regulatory requirements to Members.

• Participates in special projects related to registration. Includes risk-based, policy and strategic thinking.

• Liaises with CIRO departments, securities commissions and self-regulatory organizations.

• Provides legal and operational support for CIRO’s interface with the National Registration Database.

• Supports the Department’s handling of legal issues on a national basis, as required.

• Supports the drafting, review, interpretation and development of policy, operational initiatives, Rules/guidance, contracts, memoranda of understanding and agreements for the Department.

• Interface with CIRO and CSA advisory committees.

• Stay abreast of relevant regulatory developments impacting the Department and be a source of internal training.

Key Skills and Competencies:

Must-haves

• Law Degree

• Called to the Ontario Bar

• 3-6 years private practice, in-house or regulatory experience

• Legal experience in securities regulation and practice; registration, litigation and investigative expertise is an asset

• Experience and ability to interpret advanced legal and financial information

• Successful completion of CIRO proficiency courses is an asset

Nice to Haves

• Excellent judgment, problem-solving and analytical skills

• Excellent written and oral communication skills

• Knowledge and understanding of the Canadian regulatory landscape and CIRO’s rules, functions and operations

• Ability to navigate escalations and high-risk areas in a legal environment

• Knowledge of relevant foreign regulatory systems, regulators, rules and legislation is an asset

• Keen interest in proficiency and standards setting in a regulatory context

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.

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 $115,000 - $125,000 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