Job Description

Position Title: Sr Registration Officer

Department: Registration

Location: Toronto

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 Senior Registration Officer is responsible for the evaluation and approval of registration applications by ensuring all regulatory requirements pertaining to proficiency, experience, integrity, experience, and conflicts of interest are met as required under CIRO, National Instruments, and different securities acts. In the course of this assessment, the Senior Registration Officer helps CIRO carry out its mandate to protect investors by ensuring that individuals meet specific criteria relating to the “fit and proper” standards of registration and determining regulatory action to address any concerns.

Core Responsibilities:

• Handles registration and approval applications of a moderate to complex nature, reporting to the Manager Registration.

• Conducts extensive research, analysis and review of information pertaining to a registration, with specific attention to detail to ensure initial and ongoing suitability based on a wide range of information, specific criteria, and type of registration approval sought.

• Gathers and evaluates all necessary information to make appropriate recommendations in writing for matters with special circumstances as outlined in CIRO guidelines, as well as for discretionary exemptions from registration requirements under CIRO Rules.

• Identifies and monitors ongoing registration requirements to ensure that registered firms and individuals remain qualified, and detrimental issues are dealt with appropriately.

• Develops subject matter expertise on CIRO’s rules, policies, by-laws and regulations governing registration, as well as relevant portions of securities legislation and National Instruments.

• Provides assistance to Dealer Members’ registration personnel with registration filings through the National Registration Database.

• Liaises with CIRO Regional Offices and provincial Securities Commissions to discuss regulatory requirements and exchange information on individual applicant filings.

What You Bring

• Sound knowledge of CIRO Rules and related policies, as well as standards and practices of the Canadian Securities Administrators.

• Detail oriented with strong analytical, research, organizational 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 sensitive information with members and the public and an ability to remain patient and helpful under pressure

• Ability to deal with confidential information in a sensitive manner.

• Good file management and organizational skills.

• Ability to work proactively, resourcefully and independently, in order to prioritize and complete tasks within established service timelines.

• Proficiency with a variety of computer software applications, including MS Word, Excel and an ability to easily learn the use of new software/programs.

• Ability to work independently, as well as in collaboration with other people and departments.

Education/Experience:

• Proficient on the National Registration Database.

• Post-Secondary education (University Degree or College Diploma)

• Completion of an exam or course that demonstrates competency in the investment industry such as the Canadian Investment Regulatory Exam (CIRE), and/or Retail Securities Exam and/or Institutional Securities Exam, or other legacy courses such as the Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH) Course are considered assets.

• Minimum 5 years of financial industry experience, preferably in registration, either at a dealer member, another self-regulatory organization, securities commission or relevant experience where strong analysis and synthesis capacity were acquired.

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):

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. 

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. 

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 $70,000 - $84,000 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