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Become a key figure in regulatory compliance as a Membership Intake Examiner.This role requires analyzing Dealer Member applications with a focus on accuracy and regulatory standards in a hybrid work setting.As part of a self-regulatory organization, you will not only assess applications but also en

Ce poste peut amener à communiquer avec les employés des bureaux régionaux de l’OCRI et avec d’autres parties prenantes de l’OCRI à l’échelle du pays. Compréhension approfondie des exigences de l’OCRI liées à la conduite des affaires des courtiers membres. L’OCRI souscrit au prin

Key Responsibilities: • Analyser des documents financiers et rédiger des rapports précis • Évaluer des plaintes réglementaires concernant les courtiers • Tenir des registres détaillés selon les politiques de l’OCRI • Identifier et signaler les questions réglementaire

A national investment regulatory organization is seeking a Senior Director for Case Assessment, Complaints & Inquiries.This pivotal leadership role involves overseeing complaint intake and enforcement functions across Canada, managing a team, and ensuring compliance with regulatory standards.The ide

A regulatory organization in Montreal is seeking a Case Assessment Officer to manage and investigate regulatory complaints.The role involves compiling reports, analyzing financial documents, and working with various stakeholders to ensure compliance.Candidates should possess a university degree in f

Keeping abreast of emerging market issues and trends will be essential in enhancing CIRO's regulatory impact.

Spearhead enforcement litigation efforts as an experienced Senior Director.Oversee compliance proceedings and lead investigations in a hybrid setting focused on efficiency and fairness.In this leadership position, you will manage enforcement investigations while ensuring adherence to securities law

Work closely with other CIRO departments to inform, assist or collaborate. Experience in the area of capital markets regulation, including an in-depth understanding of securities legislation and CIRO Dealer Member Rules and the Universal Market Integrity Rules (UMIR). Solid knowledge of the securiti

A national investment regulatory organization is seeking a Senior Director for Case Assessment, Complaints & Inquiries.This pivotal leadership role involves overseeing complaint intake and enforcement functions across Canada, managing a team, and ensuring compliance with regulatory standards.The ide

These complaints and inquiries, which are primarily handled by a team of senior complaints and inquiries specialists across the country, may relate to CIRO Investment Dealer and Partially Consolidated (IDPC) Rules, Mutual Fund Dealer (MFD) Rules and/or the Universal Market Integrity Rules (UMIR), CI