Senior Financial & Operations Examiner

As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) is 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.

Core Responsibilities

• Perform complex field examinations of the operations of assigned member firms.
• Based on the examination assignment given by the Manager, perform preliminary research and information gathering activities for assigned projects; identify applicable policies and regulations, review prior examination reports and working papers.
• Plan the examination of Member firms. This includes performing a risk evaluation of the Member and determining the necessary customization to the standard examination procedures and/or scope. The revised program is reviewed by the responsible Manager/Dire...