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Added 2 mins ago
LM
PROJECT CONTROLS / SCHEDULER - LONDON SITE
Laframboise Mechanical Electrical Ltd
London, ON
- Contract
At Laframboise Group, we prioritize collaboration, innovation, and professional development. Our team members are valued contributors, empowered to lead, improve, and excel. We offer…
Added 2 mins ago
LG
PROJECT CONTROLS / SCHEDULER - LONDON SITE
Laframboise Groupe
London, ON
- Contract
At Laframboise Group, we prioritize collaboration, innovation, and professional development. Our team members are valued contributors, empowered to lead, improve, and excel. We offer…
Added 2 mins ago
CO
Inventory Services and Control Manager
City of Iqaluit
Iqaluit, NU
- Full-time
The City of Iqaluit is seeking an experienced Inventory Services & Control Manager to lead procurement, contracting, inventory control, warehouse operations, shipping and receiving, and…
Added 2 mins ago
LS
ServiceNow SME
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Canada
- Part-time
Develop and recommend implementation patterns, technical standards, security controls and best practices
Added 2 mins ago
NC
Senior Controller
Novastone Capital Advisors
Calgary, AB
- Full-time
Bringing accounting work in-house from an outsourced provider, including setting up systems, controls and processes
Added 2 mins ago
O
Manager, Facilities
OpenText
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- Full-time
Lead and develop the Waterloo Facilities and building operations team, establishing clear objectives, accountability, service standards, staffing, succession planning, after-hours coverage,…
Added 2 mins ago
GC
Vice President, Finance & CFO
GrandBridge Corporation
Cambridge, ON
- Full-time
Co-lead transaction integration and post-investment oversight, including financial systems, controls, cost allocation, synergy tracking and benefits realization, ensuring that approved…
Added 2 mins ago
T
Business Information Management Specialist-1
TD
Toronto, ON
- Full-time
This role supports the FCRM Data Strategy and Management team in designing, implementing, and maintaining data management capabilities and controls aligned with Enterprise Data Management…
Added 2 mins ago
T
Business Information Management Specialist-2
TD
Toronto, ON
- Full-time
This role supports the FCRM Data Strategy and Management team in designing, implementing, and maintaining data management capabilities and controls aligned with Enterprise Data Management…
Added 3 mins ago
DW
Senior Technician- III
Durabuilt Windows & Doors
AB
- Full-time
Diagnose faults involving PLC inputs and outputs, HMI alarms, variable frequency drives, servo systems, and machine controls.
Added 3 mins ago
CT
Manager, Workday & HR Platforms
Canadian Tire Corporation
Toronto, ON · Calgary, AB
- Full-time
…Workday & HR Platforms, you are a key member of the HR Technology team, providing functional and technical expertise across the HR systems landscape, with a strong focus on Workday…
Added 17 mins ago
CO
Inventory Services and Control Manager
City of Iqaluit
Iqaluit, NU
- Full-time
The City of Iqaluit is seeking an experienced Inventory Services & Control Manager to lead procurement, contracting, inventory control, warehouse operations, shipping and receiving, and…
Added 17 mins ago
Lead, Project Reporting
Trans Mountain
Calgary, AB
Trans Mountain is seeking a collaborative, motivated, and values driven individual to join our dynamic team as a Lead, Project Reporting. You will be accountable for leading the…
Added 32 mins ago
DW
Senior Technician- III
Durabuilt Windows & Doors
AB · Edmonton, AB
- Full-time
Diagnose faults involving PLC inputs and outputs, HMI alarms, variable frequency drives, servo systems, and machine controls
Added 32 mins ago
Reporting Analyst
Aecon
Pickering, ON
The Reporting Analyst plays a vital role in the Project Controls team, supporting project performance monitoring and decision-making through accurate, timely, and insightful data reporting…
Added 47 mins ago
C/
Business Conduct Compliance Examiner
CIRO / OCRI
Vancouver, BC
- Full-time
In Business Conduct Compliance (BCC), we take great pride in what we do. By joining our dynamic and collaborative team of industry professionals, you will have the opportunity through the…
Added 47 mins ago
AP
Senior Manufacturing Systems Engineer
Atlantic Packaging Products Ltd.
Toronto, ON · Scarborough, ON
- Full-time
This is a hands-on senior individual contributor role. The successful candidate will lead and support cross-functional projects involving process systems, mechanical equipment, controls,…
Added 1 hour ago
I
Claims Manager
InsuranceWorks.ca
Toronto, ON · Greater Toronto Area, Canada
- Full-time
This is a people-first leadership role. You will lead a team of four supervisors and about 30 adjusters across Canada. The team is growing and many of its supervisors are new to leadership,…
Added 1 hour ago
CG
Manager, Finance
Compass Greenfield Development
Toronto, ON
- Full-time
Reporting to the President and working with the senior members of our team, the Manager, Finance will lead financial analysis, support capital raising, project financing, M&A and other…
Added 1 hour ago
KR
Director, Finance
Kraken Robotics
Dartmouth, NS
- Full-time
Lead, coach, and develop the finance team, fostering a collaborative and accountable environment.
Added 1 hour ago
Director Conference & Event Centre
CAMH
Toronto, ON
Recruit, lead, coach, and develop a high-performing events and operations team, fostering a culture of inclusion, psychological safety, professionalism, and service excellence.
Added 1 hour ago
UO
Head Coach, Pandas Soccer
University of Alberta
Edmonton, AB
- Part-time
The Head Coach of the University of Alberta Pandas Soccer program is responsible for creating a team culture that reflects Athletics’ values, including the holistic development of the…
Added 1 hour ago
UO
Finance Service Partner
University of Alberta
Edmonton, AB
- Full-time
…Hub, Finance Centres of Expertise, and across the Partnership team including continuous collaboration with the Senior Finance Partners to ensure consistency and implementation of…
Added 1 hour ago
UO
Financial Analyst
University of Alberta
Edmonton, AB
- Full-time
Lead and participate in corporate and operational projects including process improvement projects, software upgrades etc.
Added 1 hour ago
UO
Program Coordinator
University of Alberta
Edmonton, AB
- Full-time
Reporting to Academic Initiatives and Governance Officer, the Program Coordinator is part of a team responsible for supporting student academic needs, including administration related to…

CIRO / OCRI

Business Conduct Compliance Examiner

Vancouver, BC, V6B 1Z3, Canada

The hiring range for this position is $70,000 - $80,000. · Full-time

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Job details

Pay: The hiring range for this position is $70,000 - $80,000.
Job type: Full-time
Experience: 2 - 4 years’ experience in compliance, audit or supervisory function with a Dealer Member, or other related employment with a securities regulatory organization
Posting language: English
Posted: Nov 9, 2026

Original job description

As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) takes our responsibility of setting high-quality regulatory and investment industry standards seriously, while protecting investors and supporting healthy capital markets in Canada.

In Business Conduct Compliance (BCC), we take great pride in what we do. By joining our dynamic and collaborative team of industry professionals, you will have the opportunity through the examination process to make a difference for investors and the capital markets.

As a key member of an examination team, the BCC Examiner conducts field reviews of sales and business conduct activities of Dealer Member firm head office and business locations. You will interpret and apply CIRO Dealer Member Rules to the evolving business models of firms.

Core Responsibilities:

Conduct an in-depth risk assessment of firm business activities to develop a comprehensive examination plan by identifying high-risk areas, documenting the risk levels of assigned examination modules, and assessing the risks associated with new products or business lines, tailoring examination procedures to address compliance with regulatory requirements
Perform examinations by conducting walkthroughs to understand workflows and document processes, evaluating compliance with regulatory standards and assessing the effectiveness of internal controls under supervision
Complete fieldwork within the allocated timeline, addressing review notes promptly to maintain examination quality and efficiency
Clearly document deficiencies and communicate the findings to the firm by collaborating with the examination team to compile comprehensive examination reports, ensuring that findings are well-supported and assist with the review of the firm’s remediation plans for compliance with regulatory requirements
Recommend improvements to the examination processes and methodologies, providing feedback to enhance program efficiency and effectiveness
Interact with other compliance departments for planning, exam scheduling and info sharing purposes
With the lead examiner, draft findings and the examination report utilizing plain language

Key Skills and Competencies:

Must-haves

General undergraduate degree
2 - 4 years’ experience in compliance, audit or supervisory function with a Dealer Member, or other related employment with a securities regulatory organization
Successful completion of CIRO proficiency courses/exams or equivalent

Nice to Haves

Chartered Professional Accountant (CPA) designation with auditing experience
Ability to quickly understand the risks associated with new business lines or products and to formulate practical examination procedures to address them
Ability to professionally and effectively communicate both verbally and in writing
Attention to detail and ability to exercise sound judgement
Ability to work independently in a team-oriented environment
Ability to multi-task, adhere to timelines and work under pressure in different environments
Ability to travel
Derivatives Fundamental Course (DFC), Branch Managers’ Examination Course (BME), Chief Compliance Officers Qualifying Examination (CCO) and Investment Dealer Compliance Course (IDCC) are considered assets

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*

*Offerings are not applicable to contracts

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 work.

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 committed to creating an inclusive and barrier-free recruitment and selection process. We welcome applications from all qualified individuals and will provide accommodation upon request for candidates participating in all aspects of the recruitment process, in accordance with applicable human rights and accessibility legislation. 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. This position requires regular communication and collaboration with employees in CIRO regional offices and with stakeholders across Canada. Proficiency in English is required due to the frequent interactions with internal and external English-speaking members, clients, registered representatives, firms, Canadian provincial and territorial securities regulators, and employees located outside Quebec. For positions based in Quebec, proficiency in both English and French is required to effectively perform the duties of the role and communicate with stakeholders in both official languages.

Additional Information

This posting reflects an active vacancy on our team
We use automated (AI) enabled technology to support aspects of candidate sourcing, screening, and communications. Applications are reviewed by our hiring team and hiring decisions are made by people.
The hiring range for this position is $70,000 - $80,000. The final compensation offered will be based on the successful candidate’s knowledge, skills, education, training, experience, internal equity, and external market considerations.

We thank all applicants for their interest; however, only those selected for further consideration will be contacted.

#hiring

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More about this job

Responsibilities

The examiner conducts field reviews of dealer member firms to assess compliance with regulatory standards and internal controls. They identify high-risk areas, document findings, and collaborate with teams to draft comprehensive examination reports.

Requirements

Candidates must hold an undergraduate degree and possess 2-4 years of experience in compliance, audit, or a supervisory function. Completion of CIRO proficiency courses or equivalent is required, with professional designations like CPA considered an asset.

Skills

Compliance
Audit
Risk assessment
Regulatory standards
Internal controls
Field reviews
Data analysis
Communication
Attention to detail
Time management
Report writing
Problem solving
Teamwork
Financial regulation

Benefits

Performance-based bonus
Hybrid work environment
Health benefits
Spending account
Company matching
Paid flex days
Wellness days
Maternity and parental leave top up
Paid continuous learning

Visa sponsorship

Not detected in the job text

Keywords

Compliance
Audit
Risk Assessment
Regulatory Standards
CIRO
Dealer Member Rules
Internal Controls
Financial Services
Capital Markets
CPA
DFC
BME
CCO
IDCC
Field Review
Remediation
Investment Industry
Regulatory Oversight
Examination
Reporting

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