Sr Membership Intake Examiner, FinOps [12-month contract]

Position Title: Sr Membership Intake Examiner, FinOps [12-month contract]

Department: Office of the Investor, Member Intake, and Innovation

Location:Vancouver, Calgary, Montreal and Toronto

Status: 12 month contract Full-time (Hybrid)

Target Hiring Range: $90,000 - $105,000

Day in the life of:

The Senior Membership Intake Examiner is accountable for analyzing and independently verifying the accuracy and completeness of by submitted information firms within the context of new membership applications and in-scope changes in business. They will work directly with applicants for new membership in CIRO, as well as existing Member firms that request corporate changes and material business transactions (that are in-scope for the department). The Senior Membership Intake Examiner will have expertise in the areas pertaining to Financial and Operations Compliance (FINOPS).

Core Responsibilities:

• Perform subject matter expert review, analysis, and recommendation of assigned new membership applications and change in business submissions from a FINOPS perspective with prescribed timelines, working in consultation with the Membership Intake Manager (FINOPS) and FINOPS, as appropriate.
• Provides solid business judgment on the handling of complex and innovative membership issues such as onboarding crypto-asset trading platforms
• Prepare written plan for analysis of assigned membership applications and changes in business to identify the key areas for review and potential issues that require consultation with Policy, Compliance and other internal or external stakeholders.
• Ensure complete tracking and documentation of their analysis of a membership application or transaction for the purpose of oversight and internal/external reporting.
• Effective verbal and/or written communications to member firms and applicants regarding their membership application or transaction, which includes the effective communication of complex matters in a clear, concise, and complete manner to ensure the Members' understanding and responsiveness.
• Assist in the maintenance of the written procedures for the FINOPS analysis of membership applications and in-scope change in business submissions for Membership Intake.
• Contribute to process improvement and implementation relative to the application intake and analysis processes
• Complete training, as appropriate and/or assigned, to develop and maintain the appropriate expertise on new business models and products associated with membership applications and transaction submissions.
• Represent Membership Intake effectively in meetings with internal and external stakeholders, which may include senior management, applicants or their counsel, and the CSA jurisdictions.

Skills and Competencies:

Must-Haves

• Professional Accounting Designation
• A minimum of 5 years' experience in the financial sector audit practice of a national accounting firm, enterprise risk management consulting practice, or similar risk management experience at a financial services provider, or related employment experience.
• Successful completion of the Canadian Securities Course
• Successful completion of the CFO Qualifying Exam
• Successful completion of the CICA In-Depth Securities Course
• Experience in and strong knowledge of regulatory processes and associated rules
• Excellent understanding of how to document business processes, identify related internal controls, and develop appropriate compliance tests
• Solid understanding of the CIRO Rules relating to the new membership applications and changes in business
• Ability to detect, analyze, and evaluate complex deviations, deficiencies, and non-compliance with generally accounting principles and IFRS, internal control objectives, rules, and policies
• Strong problem-solving and critical-thinking skills to address complex issues
• Ability to effectively manage competing and/or changing priorities while working within prescribed timelines.
• Ability to effectively communicate complex matters both orally and in writing

Nice-to-Haves

• French language proficiency is considered an asset
• Proficiency in other compliance areas, such as Business Conduct Compliance, Trading Conduct Compliance and Registration, is considered an asset

What we offer:

• 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
• Maternity Leave Of Absence /Paternity Leave Of Absence top up
• Paid continuous learning and continuing development including designations.

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.

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