Join CIRO as a Trading Conduct Compliance Examiner to uphold integrity in Canada’s capital markets. Review and analyze trading practices in a hybrid setting focusing on best compliance methods. This role on our Trading Conduct Compliance team involves examining Dealers’ adherence to securities industry regulations, including UMIR and IDPC Rules.

Your insights will be vital in assessing trading practices for equity and fixed-income securities. This position requires strong analytical skills, backed by experience in compliance processes to effectively guide Dealers. Key Responsibilities:

- Conduct reviews of Dealer trading records and policies
- Analyze compliance with universal market integrity rules




- Report findings to Management and address deficiencies
- Advise Dealers on compliance-related inquiries
- Engage in special projects and deliver presentations Requirements:
- Minimum five years of experience in securities functions
- Canadian Securities Course completion required
- Knowledgeable about securities regulations
- Practical experience on trading desks is a plus
- Robust project management and communication skills Strengthen compliance standards at CIRO and influence the future of Canada’s market integrity through this vital role.

📌 Canadian Trading Conduct Compliance Examiner Role (Vancouver)
🏢 ciro]
📍 Vancouver