As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) is 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.

As an Examiner on our Trading Conduct Compliance team, you will examine Dealers’ processes, procedures and supervision for their compliance with trading related Requirements as defined in the Universal Market Integrity Rules (UMIR) and the Investment Dealer and Partially Consolidated Rules (IDPC Rules). In addition, the examiner will participate in the review of trading related aspects of fixed income and OTC products.

Core Responsibilities

Field Work

Conduct reviews of Dealers’ equity trading records and supervision policies and procedures for compliance with securities industry rules and regulations

Conduct reviews of Dealers’ fixed income, OTC equity and derivatives procedures and policies

Analyze results of reviews

Prepare reports for CIRO management and Dealers about review status, results and analysis

Advise Dealers of review results

Evaluate compliance with trading related requirements (UMIR and IDPC Rules as applicable) and ensure identified deficiencies are addressed and where necessary, assist in the preparation of referrals to Enforcement.

Sharing Best Practices

Advise Dealers of issues found in reviews and key industry concerns

Advise and support Dealers with effective methods to improve processes and resolve deficiencies

Respond to compliance related inquiries from Dealers.

Special Projects

Work on projects and industry studies

Prepare and deliver presentations to industry about compliance issues.

Key Skills and Competencies

Must-haves

Minimum of five years working in the securities industry experience, preferably in a compliance or trade desk function at a Dealer

Successful completion of the Canadian Securities Course, Conduct and Practices Handbook

Knowledge of securities industry rules and regulations

Comprehensive understanding of equity and fixed income transaction process, trading, and back-office systems

Nice to Haves





Successful completion of Traders Training Course; or Partners, Directors, Officers or other compliance level exams

Previous experience on a Canadian equity buy-side or sell-side trading desk or trading compliance Ability to organize and to work without supervision

Ability to work interdependently in a team environment

Ability to work in a cross-functional environment

Strong project management, delegation, and conflict resolution skills

Excellent verbal and written communication skills, including some public speaking

Please note that some travel is required in this role.

What we offer

Competitive base salary in alignment with market

Performance based bonus

Hybrid work environment

Employer paid Health Benefits and Spending Account that offer flexibility to meet your individual or family needs as of day one

Defined Contribution Pension Plan with company matching that starts on your first day of employment

Paid flex days and sick days

Vacation days

Maternity Leave Of Absence/Paternity Leave Of Absence top up

Paid continuous learning and continuing development including designations

Asterisked offerings are not applicable to contracts

Why the Canadian Investment Regulatory Organization (CIRO):

Our purpose and our impact:

With offices across Canada - from Vancouver to Montreal, our mission is to promote healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures. As regulators, we understand that we are all investors, and therefore a career with us is a purposeful career: protecting our future.

Culture and Working Environment

Life at CIRO is purpose and performance- driven. We foster an inclusive culture where teamwork, a forward-thinking attitude, and integrity are at the core of everything we do. This creates an workplace where employees thrive, grow,



and are empowered to learn and contribute their best.

Joining CIRO means becoming part of a dynamic and transparent organization that values accountability and is committed to maintaining the highest standards of regulatory oversight in the financial industry.

Looking for a career where you can safeguard the integrity of Canadian markets? Join CIRO and be part of the team that secures our financial future.

At CIRO, you’ll be part of an organization driven by Pride in Excellence, a strong Focus on Well‑being, and A Shared Purpose that connects our people to meaningful work. We’re committed to fostering an inclusive, supportive environment where you can grow and make an impact. Learn more about what it’s like to build your career at CIRO by exploring our Careers page: https://www.ciro.ca/about-ciro/careers

Our Commitment

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. Should you require accommodation, please contact Human Resources.

We are committed to creating an inclusive and barrier-free recruitment and selection process across Canada. We welcome applications from all qualified individuals and are dedicated to providing accommodations upon request for candidates participating in all aspects of the recruitment process, in accordance with applicable human rights and accessibility legislation.

Our Recruitment Process

This posting reflects an active vacancy on our team

We use automated (AI) tools to assist with candidate sourcing and communications. Applications are reviewed by our hiring team and hiring decisions are made by people.

This role has a hiring range of $78,000 - $96,000 with the placement and offered salary being based on knowledge, skills, education/training and experience, as well as external market conditions and internal equity.

While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted. #Hiring

📌 Trading Conduct Compliance Examiner (Winnipeg)
🏢 CIRO / OCRI
📍 Winnipeg