Compliance Advisor, Membership Intake - Toronto - CIRO / OCRI

Description

Position Title

Membership Intake Advisor

Department

Membership Intake (MI)

Location

Toronto, Montréal, Calgary or Vancouver

Status

Regular Full-time (Hybrid)

Hiring Range

$115,000 - $140,000

Day in the Life of

The Membership Intake (MI) Advisor plays a key role in CIRO's review of new firm applications and material business change proposals from current Dealer Members ("membership transactions"). Reporting to the VP, Membership Intake, this role is responsible for managing the review, analysis and recommendation of novel or significant membership transactions, and for ensuring our compliance programs remain effective through changes in regulatory expectations and keep pace with industry evolution and new business models.

Core Responsibilities

• Lead the review, analysis and recommendation of significant or high‑risk membership transactions and novel business models, working closely with the C‑suite at Members and applicants, as well as external counsel.
• Identify and manage required consultations with the Canadian Securities Administrators (CSA) that arise from membership transactions.
• Present recommendations and resolution of critical compliance issues to CIRO's leadership team, Board of Directors, and the CSA on membership transactions.
• Represent the department effectively in internal consultations and working groups.
• Provide subject‑matter expert review, from a Business Conduct Compliance (BCC) perspective, ensuring MI's analysis of membership transactions continues to demonstrate consistent and effective regulation, while delivering efficient and cost‑effective service to Dealer Members.
• Establish and implement a framework to ensure MI's cross‑functional compliance programs remain effective and up to date with regulatory developments and keep pace with industry evolution and new business models.
• Identify training needs for the team and implement solutions to ensure they are equipped to conduct the appropriate compliance review of membership transactions that keeps pace with members' evolving business activities.
• Cultivate and sustain a deep understanding of emerging investment industry business models, products, and trends relevant to CIRO membership transactions.
• Lead and implement projects to streamline our approach with the evolving needs of our industry.

Education / Experience

• University Degree, preferably law degree or Professional Designation (CFA, CPA).
• A minimum of 7 – 10 years' experience in a compliance function preferably with a CIRO Dealer Member or CSA‑registered firm or a securities regulator.
• Comprehensive understanding of CIRO rules and securities legislation impacting Dealer Members.
• Strong knowledge of crypto‑related products and services and the regulation of crypto dealers in Canada.
• Experience in and strong knowledge of regulatory processes and requirements.
• Successful completion of the Chief Compliance Officer Qualifying Examination (CCO) or equivalent.
• Proficiency in both English and French is an asset.

Key Skills and Competencies

• Excellent written and verbal communication skills, with the ability to prepare executive‑level reports and presentations.
• Exceptional organizational skills, with proven ability to meet tight deadlines, adept at multitasking amidst competing priorities, and agile in approach to tasks.
• Strong problem‑solving and critical‑thinking skills, with a proactive, solution‑oriented mindset.
• Strong ability to build relationships and work closely with internal and external stakeholders at all levels.
• Proven ability to effectively lead change management.
• Superior knowledge of Canadian securities laws.

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 *
• Asterisked offerings are not applicable to contracts.

Why the Canadian Investment Regulatory Organization (CIRO)

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 regulators, we understand that we are all investors, and therefore a career with us is a purposeful career: 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 mandatory. 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.

No part of our recruitment process uses artificial intelligence (AI) to screen, triage, or assess candidates. All applications are reviewed by our hiring team.

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