Job Description

Position Title: Registration Officer

Department: Registration

Location: Montreal

Status: Permanent, Full-time (Primarily remote)

Day in the life of

The Registration Officer is a key member of the Registration team, responsible for review of notices for current Registrants and Approved Persons via the National Registration Database, along with the review of internal and external reports and other departmental initiatives, where applicable.

Core Responsibilities

• Conducts registration gatekeeper functions through quality, timely and consistent review of NRD notices.
• Accurately assesses and recommends the appropriate course of action on notice filings which raise novel or contentious matters.
• Identifies and escalates sensitive, urgent or unusual regulatory issues or concerns.
• Performs research through CIRO’s internal databases, as well as external regulatory databases to gather data.
• Maintains detailed records of reviews and adheres to policies and procedures for reviewing, analyzing and recording of notices.
• Prepares detailed emails to various stakeholders requesting further information, where applicable.
• Manages different internal and external sites and lists for information and evaluation purposes.
• Liaises with CIRO Regional Offices to provide and exchange information on registration filings.
• Assists in the review of other ad hoc reports and records review, along with other department initiatives, where applicable.

Skills and Competencies

Must-Haves

• Minimum 2 years' relevant experience where analysis and synthesis capacity were acquired
• Post-secondary education (College Diploma, University Certificate or relevant certificate)
• Good analytical and problem-solving skills
• Good file management and organizational skills
• Strong attention to detail
• Strong written and verbal communication skills in both English and French
• Good task management skills
• Ability to work independently, as well as collaboratively with other people and departments
• Proficient with a variety of computer software, and an ability to easily learn the use of new software/programs
• Ability to deal with confidential information in a sensitive manner
• Strong customer service skills, with an ability to remain patient and helpful under pressure

Nice-to-Haves

• Proficient on National Registration Database (“NRD”)
• Knowledge of the securities and mutual fund Industries, their standards and practices, and the policies, rules and procedures of CIRO and the Canadian Securities Administrators
• Completion of industry courses, such as the Canadian Securities Course, or other related courses

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 a regulator, we understand that we are all investors. Therefore, a career with us is a career with purpose, 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 needed. 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.

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