As a self-regulatory organization, our mission is to promote healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures. At the Canadian Investment Regulatory Organization (CIRO), we are 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.
Business Conduct Compliance, BCC, conducts examinations of investment dealers and mutual fund dealers to assess whether firms have appropriate controls to supervise their business conduct activities. BCC also reviews firm compliance with CIRO’s investor protection, sales conduct, supervision, complaint handling, conflicts of interest, know-your-client, suitability, and related business conduct requirements.
BCC plays an important role in identifying current and emerging risks across the investment industry and supporting consistent, practical, and risk-based supervisory approaches.
This is a unique opportunity to work at the intersection of securities regulation, innovation, dealer supervision, and investor protection. In this role, you will assess evolving business models, new technologies, digital engagement practices, artificial intelligence, crypto-related activities, order execution only platforms, prediction markets, social media, third-party technology arrangements, and other novel dealer practices.
As Counsel, Business Conduct Compliance, you will help BCC understand these developments and evaluate how existing regulatory requirements apply in practice. Your analysis and recommendations will support effective supervision, investor protection, and consistent decision-making across BCC. You will help BCC assess emerging risks, support consistent examination approaches across firms and regions, and identify issues that may require escalation to Policy for further consideration, interpretation, guidance, or rule development.
This role is embedded within BCC and is designed to provide practical regulatory support to examination teams, management, and internal stakeholders on complex and emerging business conduct issues. It will appeal to someone who enjoys working through regulatory questions where the answer is not always clear, connecting legal and policy concepts to real-world dealer practices, and developing practical recommendations that support consistent regulatory outcomes
We recognize that strong candidates may bring different combinations of legal, regulatory, compliance, policy, or industry experience. If your background gives you the ability to analyze complex securities regulatory issues and provide practical guidance, we encourage you to apply.
*Asterisked offerings are not applicable to contracts
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.
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.
At CIRO, you’ll be part of an organization driven by Pride in Excellence, a strong Focus on Well‑being, and A Shared Purpose that connects our people to meaningful work. We’re committed to fostering an inclusive, supportive environment where you can grow and make an impact. Learn more about what it’s like to build your career at CIRO by exploring our Careers page: https://www.ciro.ca/about-ciro/careers
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.
While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted. #LI-HYBRID #Hiring
L’Organisme canadien de réglementation des investissements (OCRI) est déterminé à protéger les investisseurs, à assurer une réglementation efficace et uniforme et à renforcer la confiance des Canadiens dans la réglementation financière et les personnes qui s’occupent de leurs placements.
The Canadian Investment Regulatory Organization (CIRO) is committed to the protection of investors, providing efficient and consistent regulation, and building Canadians’ trust in financial regulation and the people managing their investments.
