Team Lead, Registration

Position Title: Team Lead, Registration

Department: Registration

Location: Toronto

Status: Permanent, Full Time

Day in the life of:

As a key member of the team, the Team Lead, Registration, is responsible for providing training, coaching and support to the Senior Registration Officers and Registration Officers. The Team Lead, Registration, through varied responsibilities, supports the Managers, Registration with audits and reviews, enhanced checks, implementing operational changes, reviewing process and policy changes, business line changes and membership transactions, reporting requirements and special projects.

Core Responsibilities:

• Provides leadership to the Registration Team on complex registration and approval matters and assists managers with the delivery of all registration activities, including acting as a back-up to managers
• Conducts audit reviews, assists with reporting requirements and participates in special projects related to registration. Includes risk-based, policy and strategic thinking
• Conducts extensive research, analysis and review of information pertaining to registration, with specific attention to detail to ensure initial and ongoing suitability based on a wide range of information, specific criteria, and type of registration approval sought
• Gathers and evaluates all necessary information to make appropriate recommendations in writing for matters with special circumstances as outlined in CIRO guidelines, as well as for discretionary exemptions from registration requirements under CIRO Rules
• Identifies and monitors ongoing registration requirements to ensure that registered firms and individuals remain qualified, and detrimental issues are dealt with appropriately
• Develops subject matter expertise on CIRO's rules, policies, by-laws and regulations governing registration, as well as relevant portions of securities legislation and National Instruments
• Provides assistance to Dealer Members' registration personnel with registration filings through the National Registration Database
• Liaises with CIRO Regional Offices and provincial Securities Commissions to discuss regulatory requirements and exchange information on individual applicant filings
• Attends CIRO departments, CSA and other regulatory agencies meetings as needed
• Identifies and escalates sensitive, urgent or unusual regulatory issues or concerns

Key Skills and Competencies:

• Sound knowledge of CIRO Rules and related policies, as well as standards and practices of the Canadian Securities Administrators
• Detail oriented with strong analytical, research, organizational and problem-solving skills
• Ability to work in fast-paced high-volume environments
• Strong written and verbal communication skills
• Strong service skills when dealing with sensitive information with members and the public and an ability to remain patient and helpful under pressure
• Ability to deal with confidential information in a sensitive manner
• Good file management and organizational skills
• Ability to work proactively, resourcefully and independently, in order to prioritize and complete tasks within established service timelines
• Proficiency with a variety of computer software applications, including MS Word, Excel and an ability to easily learn the use of new software/programs
• Ability to work independently, as well as in collaboration with other people and departments
• Ability to analyze and interpret legal correspondence

Education/Experience

• Proficient on the National Registration Database
• Post-Secondary education (University Degree or College Diploma)
• Canadian Securities Course and the Conduct and Practices Handbook Course or other related courses are considered assets
• Minimum 5 years related experience within the securities industry, at a securities regulator, at a self-regulatory organization or other relevant experience where strong analysis and synthesis capacity were acquired

What we offer:

• Competitive base salary in alignment with market
• Competitive base salary in alignment with market
• Performance based bonus
• Hybrid work environment
• Employer paid Health Benefits 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 sick days
• Vacation days
• MLOA/PLOA top up
• Paid continuous learning and continuing development as well as designation.

Why the Canadian Investment Regulatory Organization (CIRO):

Our purpose and our impact:

With offices across Canada - from Vancouver to Montreal, our mission is to promote healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures. As a regulator, we understand that we are all investors. Therefore, a career with us is a career with purpose, protecting our future.

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.

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.

Looking for a career where you can safeguard the integrity of Canadian markets? Join CIRO and be part of the team that secures our financial future.

Our Commitment:

CIRO is an equal opportunity employer and is committed to providing employment accommodation in accordance with the Ontario Human Rights Code and the Accessibility for Ontarians with Disabilities Act, 2005 (AODA). CIRO will provide accommodation to job applicants with disabilities throughout the recruitment process. Should you require accommodation, please contact Human Resources.

CIRO is a pan-Canadian organization that oversees all investment dealers and trading activity in marketplaces across Canada. This position requires the ability to communicate with employees in CIRO regional offices and other CIRO stakeholders across Canada. Accordingly, proficiency in both official languages of Canada (French and English) is needed. Due to the frequent interactions with internal and external English-speaking members, clients, representatives, firms, Canadian provincial and territorial securities regulators, and employees situated outside of Quebec, the position requires a fully bilingual candidate.

While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted.

#LI-HYBRID #hiring