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 Business Conduct Compliance Business Conduct Compliance, BCC, conducts examinations of investment dealers and mutual fund dealers to assess whether firms have appropriate controls to supervise their business conduct activities. BCC also reviews firm compliance with CIRO’s investor protection, sales conduct, supervision, complaint handling, conflicts of interest, know-your-client, suitability, and related business conduct requirements. BCC plays an important role in identifying current and emerging risks across the investment industry and supporting consistent, practical, and risk-based supervisory approaches. About this Opportunity This is a unique opportunity to work at the intersection of securities regulation, innovation, dealer supervision, and investor protection. In this role, you will assess evolving business models, new technologies, digital engagement practices, artificial intelligence, crypto-related activities, order execution only platforms, prediction markets, social media, third-party technology arrangements, and other novel dealer practices. As Counsel, Business Conduct Compliance, you will help BCC understand these developments and evaluate how existing regulatory requirements apply in practice.



Your analysis and recommendations will support effective supervision, investor protection, and consistent decision-making across BCC. You will help BCC assess emerging risks, support consistent examination approaches across firms and regions, and identify issues that may require escalation to Policy for further consideration, interpretation, guidance, or rule development. This role is embedded within BCC and is designed to provide practical regulatory support to examination teams, management, and internal stakeholders on complex and emerging business conduct issues. It will appeal to someone who enjoys working through regulatory questions where the answer is not always explicit, connecting legal and policy concepts to real-world dealer practices, and developing practical recommendations that support consistent regulatory outcomes. Core Responsibilities Lead the assessment of complex and emerging dealer conduct issues, including new business models, technologies, products, partnerships, digital engagement practices, and other novel activities. Analyze facts, applicable rules, guidance, and regulatory concepts to develop clear, practical recommendations for BCC management and examination teams. Support consistent BCC approaches across firms, regions, and examination teams on emerging business conduct matters. Identify issues that may require escalation to Policy for interpretation, guidance, or rule development. Prepare briefing notes, issue summaries, decision-support materials, and practical guidance on complex or emerging regulatory issues. Identify trends, recurring issues, and emerging risks across dealers, examinations, and business models. Work closely with the BCC Senior Counsel to support alignment, knowledge

📌 Counsel, Business Conduct Compliance (Toronto)
🏢 Socket.dev
📍 Toronto