Job Details

Posting Details

- - Posted on November 5, 2026

Locations

Showing 1 location

40 Temperance Street
Suite 2600
Toronto, ON M5H0B4, CAN

- Hybrid
- People Leaders
- Full-Time
- Requisition #: MANAG002667

Description

About Us

As a self-regulatory organization, our mission is to promote healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures. At the Canadian Investment Regulatory Organization (CIRO) , we are 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.

About this Opportunity

The Manager, Financial & Operations Compliance manages field examinations to ensure that Dealer Member firms comply with CIRO’s prudential rules and are financially and operationally viable.

Core Responsibilities:

- Manage the “prudential regulatory oversight” of a portfolio of Dealer Member firms to ensure that the risks to the investing public, CIRO, provincial securities commissions and the Canadian Investor Protection Fund (CIPF) are appropriately mitigated
- Ensure that regulatory filings from Dealer Member firms are prepared in accordance with CIRO rules and filed on a timely basis
- Ensure the effective and efficient planning and execution of the examination process
- Initiate timely and appropriate regulatory intervention measures to minimize investor loss by Dealer Member firms facing financial or operational stress




- Ensure department objectives are met through effective people leadership, training and development of the department

What You Bring

Education and Experience

- Accounting designation, CPA preferred
- Completion of an exam or course that demonstrates competency in the investment industry and role of the CFO such as the Chief Financial Officer Exam or other legacy courses such as the CFO Qualifying Exam
- Completion of an exam or course that demonstrates competency in the investment industry such as the Canadian Investment Regulatory Exam (CIRE), and/or Retail Securities Exam and/or Institutional Securities Exam, or other legacy courses such as the Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH) Course
- Completion of the CICA In-Depth Securities Course
- 5 years of experience in a regulatory or securities environment (including brokerage audit) with at least 2 years of people leadership

Key Skills and Competencies:

- Strong knowledge of International Financial Reporting Standards (IFRS) and the Canadian Auditing Standards (CAS)
- Strong audit skills
- Strong working knowledge of CIRO prudential rules
- Ability to detect, analyze and evaluate complex issues for capital implications
- Ability to communicate complex issues in a clear, concise,



and professional mannerStrong working knowledge of Enterprise Risk Management frameworks and practices at regulated financial institutions

What we offer

- Competitive total rewards program including performance-based bonus *
- Hybrid work environment
- Employer paid Health Advantages 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 wellness days*
- Maternity and Parental Leave top up *
- Paid continuous learning and continuing development including designations*

*Offerings are not applicable to contracts

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 environment where employees thrive, grow, and are empowered to learn and contribute their best work.

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.

Our Commitment

CIRO is committed to creating an inclusive and barrier-free recruitment and selection process. We welcome applications from all qualified individuals and will provide accommodation upon request for candidates participating in all aspects of the recruitment process, in accordance with applicable human rights and accessibility legislation

📌 Manager, Financial and Operations Compliance (Toronto)
🏢 CIRO / OCRI
📍 Toronto