Become a Gaming Conduct Compliance Examiner at CIRO and help safeguard investors in Canada's capital markets. This role combines compliance analysis and operational evaluation in a hybrid work setting.
As part of the Trading Conduct Compliance team, you will assess Dealers’ adherence to securities regulations, focusing on equity and fixed income transactions. Your insights will enhance compliance and foster improvements in trading practices. This position requires solid analytical skills and the ability to convey compliance findings effectively.
Key Responsibilities:
• Conduct compliance reviews of trading records and policies • Analyze dealer procedures for fixed income and OTC products • Prepare and present compliance reports to management • Engage with Dealers regarding compliance issues • Assist in industry studies and best practices development
Requirements: • Minimum five years in a compliance role within the securities industry • Successful completion of Canadian Securities Course • Strong knowledge of trading compliance and regulations • Excellent analytical and communication skills • Ability to manage projects effectively
Make a meaningful impact on Canadian capital markets through your compliance expertise at CIRO.