Lead financial and operations compliance at CIRO in a hybrid Toronto position, applying audit expertise and prudential regulatory knowledge.

The Manager oversees field examinations for Dealer Member firms within CIRO’s regulatory framework. This people leadership role supports financial and operational viability through regulatory filings, examination planning, and timely intervention. Solid IFRS, CAS, audit, and Enterprise Risk Management knowledge is central to the work.

Key Responsibilities:

- Manage prudential regulatory oversight for a Dealer Member firm portfolio
- Ensure regulatory filings comply with CIRO rules and deadlines
- Plan and execute effective, efficient examination processes
- Initiate intervention measures during financial or operational stress
- Lead department training,



development, and objective delivery

Requirements:

- Accounting designation, with CPA preferred
- Completed CFO competency examination or equivalent investment industry course
- Completed applicable investment industry examination or recognized legacy courses
- Completed the CICA In-Depth Securities Course
- Five years’ regulatory or securities experience, including two years’ people leadership

Apply financial compliance, audit, and regulatory leadership expertise to protect investors and strengthen Canadian capital markets through CIRO.

📌 Financial Operations Compliance Manager (Toronto)
🏢 Ciro-Ocr
📍 Toronto