Job Description

Position Title: Registration Support Officer

Department: Registration

Location: Calgary, Montreal, Toronto, Vancouver

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.

CIRO’s Registration department acts a gatekeeper to the Canadian capital markets by ensuring that individuals are suitable for registration and approval. The Registration Support Officer is a key member of the team, responsible for supporting the review of registration applications and information notices required to be filed via the National Registration Database (NRD).

Core Responsibilities:

• Supports the processing of registration filings with CIRO and on the NRD through quality, timely and consistent reviews of registration-related information.
• Reviews certain registration filings such as notices of end of registration for registered individuals and escalates matters in accordance with established protocols.
• Supports the department’s gatekeeper functions by accurately reviewing background check results supporting registration (such as bankruptcy checks) and processing other checks using internal and external sources.
• Provides administrative support for the department, including for industry member file copy requests.
• Corresponds with filers and their representatives requesting further information where applicable.
• Conducts initial review of Approved Person Supervision Reports and escalates where required.
• Maintains detailed records and adheres to policies and procedures for reviewing, analyzing and recording of filings.
• Supports information resources that assist with registration functions.
• Liaises with CIRO Regional Offices to provide information on registration filings.
• Assists with other department initiatives where required.

Key Skills and Competencies:

Must-haves

• Post-Secondary education (University Degree or College Diploma)
• Canadian Securities Course and the Conduct and Practices Handbook Course or other related courses are considered assets
• One to two years of experience with the financial industry or equivalent is an asset.

Nice to Haves

• An understanding of CIRO Rules and related policies, and instruments is an asset.
• Experience with NRD.
• Detail oriented with good analytical and problem-solving skills.
• Ability to work in fast-paced high-volume environments.
• Strong written and verbal communication skills.
• Strong service skills when dealing with members and the public.
• Ability to deal with confidential information in a sensitive manner.
• Good file management and organizational skills.
• Ability to work proactively and independently, to prioritize and complete tasks within established service timelines.
• Proficiency with a variety of computer software applications, including MS Word, Excel.

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/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.

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

No part of our recruitment process uses artificial intelligence (AI) to screen, triage, or assess candidates. All applications are reviewed by our hiring team.

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