Job Description
Position Title
Business Conduct Compliance Examiner
Department
Business Conduct Compliance
Location
Toronto
Employment Status
Permanent Full‑Time (Hybrid)
Overview
As a key member of Business Conduct Compliance, the Examiner conducts field reviews of sales and business conduct activities of Dealer Member firm head office and business locations. The role interprets and applies CIRO Dealer Member Rules to evolving business models of firms, ensuring compliance with regulatory requirements and supporting investors and healthy capital markets.
Core Responsibilities
- Conduct an in‑depth risk assessment of firm business activities to develop a comprehensive examination plan by identifying high‑risk areas, documenting risk levels of assigned examination modules, and assessing risks associated with new products or business lines, tailorin...