Senior Membership Intake Examiner FinOps - Calgary - CIRO / OCRI

Description

Senior Membership Intake Examiner FinOps

Position Title: Sr Membership Intake Examiner FinOps

Department: Member Intake

Location: Vancouver, Calgary, Montreal and Toronto

Employment Type: Regular

Working Arrangement: Full-time, Hybrid

About Us

As a self‑regulatory organization, the Canadian Investment Regulatory Organization (CIRO) promotes healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures. CIRO sets high regulatory standards, safeguards investors, and supports the integrity of Canada's capital markets. Join a growing team and contribute to the dynamic and complex world of Canadian capital markets.

About This Opportunity

The Senior Membership Intake Examiner is accountable for analyzing and independently verifying the accuracy and completeness of firm information submitted within the context of new membership applications and in‑scope changes in business. The Examiner works directly with applicants for new membership and existing member firms that request corporate changes or material business transactions. Expertise in Financial and Operations Compliance (FINOPS) is required.

Core Responsibilities

• Perform subject matter expert review, analysis, and recommendation of assigned new membership applications and changes in business submissions from a FINOPS perspective with prescribed timelines, working with the Membership Intake Manager (FINOPS) and FINOPS as appropriate.
• Provide solid business judgment on the handling of complex and innovative membership issues such as onboarding crypto‑asset trading platforms.
• Prepare a written plan for the analysis of assigned membership applications and changes in business to identify key areas for review and potential issues that require consultation with policy, compliance, and other stakeholders.
• Ensure complete tracking and documentation of analysis for oversight and internal/external reporting.
• Communicate verbally and/or in writing with member firms and applicants regarding their application or transaction, ensuring complex matters are clearly and concisely stated.
• Assist in maintaining written procedures for the FINOPS analysis of membership applications and in‑scope changes in business submissions.
• Contribute to process improvement and implementation related to the application intake and analysis processes.
• Complete relevant training to develop and maintain expertise on new business models and products related to membership applications and transaction submissions.
• Represent Membership Intake effectively in meetings with internal and external stakeholders, including senior management, applicants or their counsel, and CSA jurisdictions.

What You Bring

Must‑Haves

• Professional Accounting Designation.
• Minimum of 5 years of 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.
• Completion of an exam or course that demonstrates competency in the investment industry such as the Canadian Investment Regulatory Exam (CIRE), the Retail Securities Exam, the Institutional Securities Exam, or legacy courses such as the Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH) Course.
• Completion of a CFO‑related exam or course (e.g., Chief Financial Officer Exam, CFO Qualifying Exam, or CICA In‑Depth Securities Course).
• Experience and strong knowledge of regulatory processes and associated rules.
• Excellent understanding of documenting business processes, identifying internal controls, and developing compliance tests.
• Solid understanding of CIRO Rules relating to new membership applications and changes in business.
• Ability to detect, analyze, and evaluate complex deviations, deficiencies, and non‑compliance with generally accepted accounting principles and IFRS, internal control objectives, rules, and policies.
• Strong problem‑solving and critical‑thinking skills to address complex issues.
• Ability to manage competing and/or changing priorities within prescribed timelines.
• Excellent oral and written communication skills, especially for explaining complex matters.

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 total rewards program including 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 wellness days.
• Maternity and Parental Leave top‑up.
• Paid continuous learning and continuing development including designations.
• *Asterisked offerings are not applicable to contracts.

Why the Canadian Investment Regulatory Organization (CIRO)

Life at CIRO is purpose‑driven and performance‑focused. We foster an inclusive culture where teamwork, a forward‑thinking attitude, and integrity are the core values. Employees thrive, grow, and are empowered to learn and contribute their best.

Culture and Working Environment

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.

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 (AODA). CIRO will provide accommodation to job applicants with disabilities throughout the recruitment process. If 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, requiring a fully bilingual candidate proficient in both official languages.

Our Recruitment Process

• This posting reflects an active vacancy on our team.
• We use automated (AI) tools to assist with candidate sourcing and communications. Applications are reviewed by our hiring team, and hiring decisions are made by people.
• The role has a hiring range of $90,000–$115,000, with the offered salary based on knowledge, skills, education/training, and experience.

Only applicants who closely meet the position requirements will be contacted.

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