Build your career with the Canadian Investment Regulatory Organization (CIRO) as a Trading Conduct Compliance Inspector. This hybrid role will allow you to scrutinize Dealers’ compliance with trading regulations.

As a Compliance Inspector, you will work on assessing Dealers' processes and identifying areas for improvement according to the Universal Market Integrity Rules (UMIR) and Investment Dealer and Partially Consolidated Rules (IDPC Rules). Your insights will help maintain the integrity of the trading workplace while collaborating with dealers to enhance compliance practices.

Key Responsibilities:
• Inspect equity and fixed income trading records for adherence
• Report on compliance status and recommend improvements




• Analyze results of compliance reviews and address deficiencies
• Educate Dealers on regulatory changes and best practices
• Collaborate on special industry projects and presentations

Requirements:
• At least five years of experience in securities or compliance roles
• Successful completion of designated securities training courses
• Deep understanding of trading and compliance practices
• Strong leadership and communicative abilities
• Willingness to travel for field inspections.

Apply your experience to safeguard Canadian markets as part of CIRO.
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📌 Trading Conduct Compliance Inspector in Toronto (Ontario)
🏢 CIRO / OCRI
📍 Ontario