Join CIRO as a Membership Intake Senior Examiner focusing on Business Conduct Compliance. This hybrid role demands expertise in regulatory processes and transaction assessments based in Toronto.
In this position, you'll be responsible for assessing the accuracy and completeness of Dealer Member applications and requests while providing guidance throughout the compliance process. Your contributions will ensure CIRO maintains high standards and effective communication with stakeholders, enhancing the efficiency of Dealer Member transactions.
Key Responsibilities:
• Review Dealer Member transaction requests for compliance
• Act as the lead contact for your assigned files
• Ensure complete documentation of compliance analyses
• Maintain and update procedures for transaction reviews
• Enhance processes for evaluating transaction handling
Requirements:
• 5+ years in compliance, audit, or supervisory roles
• Strong grasp of CIRO's compliance expectations
• Com...