Job Description

Position Title: Senior Compliance Officer, Compliance Modernization Group (CMG)

Department: Compliance Modernization Group (CMG)

Location: Toronto, Montreal, Calgary, Vancouver

Employment Type: Regular

Working Arrangement: Full-time, Hybrid

About Us

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.

About this Opportunity

The Compliance Modernization Group (CMG) supports the Compliance functions at Canadian Investment Regulatory Organization (CIRO) to achieve shared goals and make a last impact. We implement and manage the tools, applications and processes used to execute Compliance programs. The Senior Compliance Officer will support these programs through participation in activities to build, enhance, and modernize compliance processes. Through collaboration, learning and meaningful work, the Senior Compliance Officer will be supporting Compliance teams nationally and creating efficiencies for dealers CIRO regulates.

Core Responsibilities:

Compliance Program Support

• Support functions across Business Conduct, Trade Conduct, and Financial and Operations Compliance, ensuring alignment with regulatory requirements and organizational priorities

• Execute the CMG program by assisting with long-term planning and strategic objectives

• Identify opportunities for compliance programs and propose practical solutions

• Support internal and external audits

Technology & Process Modernization

• Act as a key liaison between Compliance and IT teams to implement and optimize compliance technology solutions

• Administer and support compliance examinations systems including user training, maintenance, and technical troubleshooting

• Administer and support risk assessment systems including user training, maintenance, and technical troubleshooting

• Explore opportunities for automation, analytics, and process improvements to enhance compliance operations

• Assist in designing and implementing common solutions to unify business processes across compliance groups

• Stay informed on emerging technologies and industry best practices to recommend innovative solutions

Stakeholder Engagement & Training

• Maintain strong working relationships with compliance teams, vendors and third parties to ensure compliance objectives are met

• Contribute to onboarding and ongoing training programs for compliance teams, including new processes and technology implementations or enhancements

Data & Reporting

• Understand, assess, and manage data flows within compliance systems

• Identify opportunities for improved data collection and analytics to support compliance decision-making

• Compile and prepare statistical reports for management, regulatory authorities or others as needed

What You Bring

• Strong knowledge of Microsoft 365 applications and aptitude for new technology

• Excellent understanding of how to document business processes, identify related internal controls, and develop appropriate compliance tests

• Ability to detect, analyze, and evaluate complex issues

• Knowledge of investment industry

• Excellent written and oral communication skills

• Ability to work independently, multi-task and support colleagues in a team-oriented environment

Education & Experience

• A university degree or college diploma in Computer Science or related field of study

• Experience with business analysis and requirements, technology implementation, or process improvement initiatives is highly desirable

• Experience with design, implementation, and testing for business applications

• Experience in compliance, audit, or equivalent experience with a dealer or securities regulatory organization

• Completion of an exam or course that demonstrates competency in the investment industry are considered an asset

What we offer:

• Competitive total rewards program including 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 wellness days*

• Maternity and Parental Leave top up *

• Paid continuous learning and continuing development including designations*

• *Asterisked offerings are not applicable to contracts

Why the Canadian Investment Regulatory Organization (CIRO):

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. 

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. 

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.

Our Recruitment Process

• This posting reflects an active vacancy on our team

• We use automated (AI) tools to assist with candidate sourcing and communications. Applications are reviewed by our hiring team and hiring decisions are made by people.

• This role has a hiring range of $83,000 - $103,000 with the placement and offered salary being based on knowledge, skills, education/training and experience, as well as external market conditions and internal equity.

While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted. #LI-HYBRID #hiring