Senior Membership Intake Examiner, Finops

Position Title: Senior Membership Intake Examiner, FinOps

Department: General Counsel’s Office – Membership Intake

Location: Vancouver, Calgary, Montreal and Toronto

Status: Permanent Full-time (Hybrid)

The Senior Membership Intake Examiner is accountable for analyzing and independently verifying the accuracy and completeness of by submitted information firms within the context of new membership applications and in-scope changes in business. They will work directly with applicants for new membership in IIROC, as well as existing Member firms that request corporate changes and material business transactions (that are in-scope for the department). The Senior Membership Intake Examiner will have expertise in the areas pertaining to Financial and Operations Compliance (FINOPS).

Key Responsibilities:

• Complete training, as appropriate and/or assigned, to develop and maintain the appropriate expertise on new business models and products associated with membership applications and transaction submissions.
• Provides solid business judgment on the handling of complex and innovative membership issues such as onboarding crypto-asset trading platforms
• Perform subject matter expert review, analysis, and recommendation of assigned new membership applications and change in business submissions from a FINOPS perspective with prescribed timelines, working in consultation with the Membership Intake Manager (FINOPS) and FINOPS, as appropriate.
• Contribute to process improvement and implementation relative to the application intake and analysis processes
• Assist in the maintenance of the written procedures for the FINOPS analysis of membership applications and in-scope change in business submissions for Membership Intake.
• Represent Membership Intake effectively in meetings with internal and external stakeholders, which may include senior management, applicants or their counsel, and the CSA jurisdictions.
• Ensure complete tracking and documentation of their analysis of a membership application or transaction for the purpose of oversight and internal/external reporting.
• Prepare written plan for analysis of assigned membership applications and changes in business to identify the key areas for review and potential issues that require consultation with Policy, Compliance and other internal or external stakeholders.
• Effective verbal and/or written communications to member firms and applicants regarding their membership application or transaction, which includes the effective communication of complex matters in a clear, concise, and complete manner to ensure the Members’ understanding and responsiveness.

Education/Experience:

• Experience in and strong knowledge of regulatory processes and associated rules
• Professional Accounting Designation
• Successful completion of the CICA In-Depth Securities Course
• Successful completion of the Canadian Securities Course
• Successful completion of the CFO Qualifying Exam
• A minimum of 5 years’ 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, or related employment experience.

Key Skills and Competencies:

• Proficiency in other compliance areas, such as Business Conduct Compliance, Trading Conduct Compliance and Registration, is considered an asset
• Ability to effectively communicate complex matters both orally and in writing
• Excellent understanding of how to document business processes, identify related internal controls, and develop appropriate compliance tests
• Solid understanding of the IIROC Rules relating to the new membership applications and changes in business
• French language proficiency is considered an asset
• Ability to effectively manage competing and/or changing priorities while working within prescribed timelines.
• Strong problem-solving and critical-thinking skills to address complex issues
• Ability to detect, analyze, and evaluate complex deviations, deficiencies, and non-compliance with generally accounting principles and IFRS, internal control objectives, rules, and policies

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

New SRO is committed to employment practices that are inclusive and accessible. Accommodations for individuals with disabilities are available. Should you require accommodation, please contact Human Resources.