CIRO seeks a Senior Trading Compliance Analyst to navigate trading regulations in a hybrid role in Toronto, Ontario. Focus on investigation, coaching, and compliance enhancement.
This position involves leading preliminary investigations into potential breaches of UMIR and securities regulations in the Canadian market. You will assess and report on complaints, mentor junior analysts, and participate in the design of current compliance tools. Your analytical acumen will play a crucial role in supporting regulatory reviews and initiatives.
Key Responsibilities:
• Conduct assessments for UMIR and securities violations
• Draft and present detailed investigation reports
• Review incoming complaints and determine the need for further inquiries




• Supervise and coach Investigative Analysts for success
• Collaborate on regulatory reviews and special projects
Requirements:
• Completion of Canadian Securities Course and Trader Training Course
• Skilled certification in Economics or Commerce preferred
• Bilingual in French and English is an asset
• In-depth knowledge of securities regulations and trading practices
• Solid writing and analytical abilities
Join CIRO as your expertise in trading compliance drives regulatory excellence in the market.
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📌 Hybrid Senior Trading Compliance Analyst Toronto
🏢 CIRO / OCRI
📍 Toronto