Position Title: Sr Membership Intake Examiner (Business Conduct Compliance)

Department: Office of the Investor, Member Intake, and Innovation

Locations: Toronto, Vancouver, Calgary, Montreal

Status: Regular Full-time (Hybrid)

Day in the life: The Membership Intake Senior Examiner is accountable for analyzing and independently verifying the accuracy and completeness of Dealer Member applications and transaction requests (“Dealer Member transactions”) and works directly with firms applying for CIRO membership and existing Dealer Members proposing changes. The Examiner brings expertise in Business Conduct Compliance (BCC).

Responsibilities

- Perform subject matter expert review, analysis, and recommendation of assigned Dealer Member transactions from an MI-BCC perspective, consulting with relevant stakeholders.
- Act as File Lead for assigned transactions: main point of contact, drive file to completion, and ensure all internal reviews and milestones are completed on schedule.
- Track and document MI-BCC analysis for oversight and reporting.
- Assist in maintaining written procedures for MI-BCC analysis of Dealer Member transactions.
- Contribute to process improvement for MI’s processing of Dealer Member transactions.
- Communicate effectively in writing and verbally with Dealer Members and applicants, conveying complex matters clearly.
- Complete required training and continuing education to maintain expertise on new business models and products.
- Represent Membership Intake in meetings with internal and external stakeholders, including C‑suite, external counsel, and CIRO senior management.

Qualifications and Experience

- Undergraduate degree.
- Minimum 5 years in a compliance, audit, or supervisory function with a Dealer Member, securities regulator, or self‑regulatory organization.




- Comprehensive understanding of CIRO’s business conduct requirements for Dealer Members.
- Strong knowledge of regulatory processes and requirements.
- Completion of an investment industry exam or course such as CIRE, Retail Securities Exam, Institutional Securities Exam, CSC, CPH, or similar.
- Completed courses such as Supervisor Exam, IDSC, Director Executive Exam, PDO, or Chief Compliance Officer Exam are assets.
- In‑depth expertise in Business Conduct Compliance.
- Strong ability to meet tight deadlines, multi‑task, and agile approach to tasks.
- Strong understanding of CIRO Rules and Canadian securities laws.
- Ability to detect, analyze, and evaluate complex deviations, deficiencies, and non‑compliance with accounting principles, IFRS, internal control objectives, rules, and policies.
- Robust problem‑solving and critical‑thinking skills.
- Excellent oral and written communication skills.

Nice to Have

- Proficiency in French.
- Experience in Financial, Operations, Trading Conduct, or Registration compliance.

Benefits

- Competitive base salary aligned with market.
- Performance‑based bonus.
- Hybrid work environment.
- Employer‑paid Health Benefits and Spending Account.
- Defined Contribution Pension Plan with company matching starting on first day.
- Paid flex days and sick days.
- Vacation days.
- Maternity, Paternity Leave top‑up.
- Paid continuous learning and development, including designations.

EEO Statement

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. Candidates requiring accommodations should contact Human Resources.

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📌 Sr Membership Intake Examiner (Business Conduct Compliance) (Calgary)
🏢 CIRO / OCRI
📍 Calgary