Join the Canadian Investment Regulatory Organization (CIRO) as a Trading Compliance Evaluator in Toronto. This hybrid position emphasizes reviewing compliance with trading regulations and supporting Dealers in their operations.
In this role, you'll be responsible for examining Dealers' adherence to UMIR and IDPC Rules. With your extensive industry background, you will conduct thorough reviews, analyze the results, prepare detailed reports, and aid in resolving compliance issues effectively. Your expertise will play a crucial role in enhancing the compliance framework.
Key Responsibilities:
• Review equity trading records for compliance with regulations
• Analyze policies for fixed income and derivatives trading




• Prepare reports on compliance review findings
• Provide advisory support on compliance matters to Dealers
• Engage in industry studies and deliver presentations
Requirements:
• A minimum of five years' experience in securities compliance
• Completion of relevant Canadian securities courses
• Proficient in trading systems and industry regulations
• Solid analytical and communication skills
• Flexibility for some travel.
Leverage your skills in trading compliance to uphold the standards at CIRO.
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📌 Trading Compliance Evaluator At Ciro, Toronto
🏢 CIRO / OCRI
📍 Toronto