Enhance your career as a Business Conduct Compliance Examiner with CIRO in Toronto. Contribute to regulatory compliance while working in a permanent, full-time hybrid capacity.
In this pivotal role within Business Conduct Compliance at CIRO, you will conduct examinations of Dealer Member firms. Your focus will be not only on assessing risks but also on ensuring compliance with CIRO Dealer Member Rules. This position requires a blend of analytical assessment and detailed documentation of compliance processes.
Key Responsibilities:
• Develop examination plans based on risk assessments
• Conduct thorough evaluations and internal controls assessments
• Document issues and collaborate on examination reports
• Complete review findings and ensure timely communication
• Suggest improvements for examination processes
Requirements:
• Must hold a general undergraduate degree
• 2-4 years in compliance or audit role required
• Necessary completion of designated comp...