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Business Conduct Compliance Examiner
Company | CIRO / OCRI |
Address | Toronto, Ontario, Canada |
Employment type | FULL_TIME |
Salary | |
Category | Financial Services |
Expires | 2023-09-18 |
Posted at | 8 months ago |
Position Title: Business Conduct Compliance Examiner (ID)
- Assess the risk of assigned examination areas and follow procedures to ensure that examination objectives are achieved and conclusions are adequately supported
- Draft examination findings in consultation with the lead examiner and assist in the preparation of the examination report that is written in plain language
- Actively contribute to team discussion, openly sharing experiences and ideas to improve examination practices and departmental goals
- Interact with senior management, supervisory and compliance staff of a Dealer Member to evaluate the effectiveness of the firm’s controls
- Gather information to assess a Dealer Member’s business activities to determine the scope of the review and the areas of principal risk, in consultation with the lead examiner
- The following courses are required: Canadian Securities Course, and Examination based on the Conduct and Practices Handbook for Securities Industry Professionals,
- Undergraduate degree
- Total of 3 years in a compliance, audit or supervisory function with a Dealer Member, or 3 years other related employment with a securities regulatory organization.
- The following courses are an asset: Derivatives Fundamental Course, Branch Managers Course and Chief Compliance Officers Course
- Professional presentation and manner
- Ability to travel
- Ability to quickly understand the risks associated with new business lines or products and to formulate practical examination procedures to address them.
- Ability to work independently in a team-oriented environment.
- Motivated to make a difference
- Attention to detail and ability to exercise sound judgement
- Interest in ongoing learning and professional development in a compliance capacity
- Effective written and oral communication skills
- Ability to multi-task, adhere to timelines and work under pressure in different environments
- Knowledge of securities industry, CIRO Dealer Members and their activities.
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