Sr Business Conduct Compliance Examiner

Job description

Position Title: Senior Business Conduct Compliance Examiner Department: Business Conduct Compliance: Location: Toronto: Status: Regular Full-time: Day in the life of: As a self-regulatory organization, Canadian Investment Regulatory Organization (CIRO) takes our responsibility of setting high-quality regulatory and investment industry standards seriously, while protecting investors and supporting healthy capital markets in Canada. In Business Conduct Compliance (BCC) we take great pride in what we do. By joining our dynamic and collaborative team of industry professionals, you will have the opportunity through the examination process to make a difference for investors and the capital markets. As a key member of an examination team, the Sr BCC Examiner conducts field reviews of sales and business conduct activities of Dealer Member firm head office and business locations. You will interpret and apply CIRO Dealer Member Rules to the evolving business models of firms. Core Responsibilities: - Execute examinations of firms to assess the effectiveness of their compliance programs and ensure successful completion of fieldwork within agreed budgeted hours and timeline addressing Manager r...