Step into a pivotal role at CIRO as a Business Conduct Compliance Examiner in Toronto. This hybrid position involves conducting in-depth examinations to ensure regulatory adherence.
As a member of the Business Conduct Compliance team at the Canadian Investment Regulatory Organization, your work will significantly influence investor protection. You'll be responsible for risk assessments, conducting compliance examinations, and ensuring that regulatory standards are met effectively. Collaborate with professionals to produce impactful reports and facilitate compliance improvements.
Key Responsibilities:
• Develop examination plans through risk assessments
• Conduct evaluations of regulatory compliance
• Document processes and findings meticulously
• Communicate deficiencies to firms with clarity
• Suggest enhancements to examination methodologies
Requirements:
• 2-4 years’ experience in compliance or audit
• Relevant examinations completed in the investment f...