Apply securities compliance expertise as a Trading Conduct Compliance Examiner reviewing Dealer trading processes, supervision, and regulatory requirements across Canada. Hybrid work supports collaboration with CIRO stakeholders.

CIRO seeks an examiner with at least three years of securities industry experience, preferably in Dealer compliance or trade desk functions. The work covers equity, fixed income, OTC equity, and derivatives procedures. You will assess compliance with UMIR and IDPC Rules, analyze findings, and communicate results.

Key Responsibilities:

- Review Dealer equity trading records and supervision procedures
- Examine fixed income, OTC equity, and derivatives policies
- Analyze review results and prepare reports for CIRO management




- Advise Dealers and support deficiency resolution
- Prepare industry presentations and contribute to special projects

Requirements:

- Minimum three years of securities industry experience
- Knowledge of securities industry rules and regulations
- Understanding of equity and fixed income transaction processes
- Solid communication, project management, and conflict resolution skills
- Fully bilingual in English and French; some travel required

Bring trading compliance, regulatory analysis, and Dealer advisory expertise to CIRO’s oversight of Canadian marketplaces and investment dealers.

📌 Trading Compliance Examiner UMIR IDPC Rules (Montreal)
🏢 CIRO / OCRI
📍 Montreal