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Added 6 mins ago
NB
Wealth Associate
National Bank of Canada
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- Full-time
National Bank Financial – Wealth Management is the fifth largest investment brokerage firm in Canada. We have close to 1,000 investment advisors who manage the assets of more than 400,000…
Added 6 mins ago
BT
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- Full-time
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Added 6 mins ago
NB
Manager Financing Solutions
National Bank of Canada
Vancouver, BC
- Full-time
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Added 6 mins ago
NB
Senior Mortgage Underwriter, Alt A
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AB · Edmonton, AB
- Temporary
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Added 6 mins ago
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- Full-time
Financial Statement Analysis - Analyze financial statements of private companies to assess their accuracy, completeness, and adherence to accounting principles. Identify and address…
Added 21 mins ago
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Added 36 mins ago
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Associate
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- Full-time
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Added 2 hours ago
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- Full-time
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Strong cognitive and mathematical skills, including problem analysis, decision making and financial analysis
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Added 4 hours ago
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Whitby, ON
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The Asset Protection Specialist (APS) is primarily responsible for preventing financial loss caused by theft and fraud, organized retail crime and supporting safety and environmental…
Added 4 hours ago
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Senior Manager, Credit Risk
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Added 4 hours ago
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Added 5 hours ago
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Added 5 hours ago
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Senior Compensation Partner, Sales & Marketing
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Added 5 hours ago
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Title: Financial Manager - PLM (Product Line Mgmt)
Added 5 hours ago
TH
Loss Prevention Specialist Full Time
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The Asset Protection Specialist (APS) is primarily responsible for preventing financial loss caused by theft and fraud, organized retail crime and supporting safety and environmental…

CIRO / OCRI

Manager, Financial and Operations Compliance

Toronto, ON, M5H 0B4, Canada

The hiring range for this position is $115,000 - $125,000. · Full-time

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Job details

Pay: The hiring range for this position is $115,000 - $125,000.
Job type: Full-time
Experience: 5 years of experience in a regulatory or securities environment (including brokerage audit) with at least 2 years of people leadership
Posting language: English
Posted: Nov 5, 2026

Original job description

About Us

As a self-regulatory organization, our mission is to promote healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures. At the Canadian Investment Regulatory Organization (CIRO), we are committed to setting high regulatory standards for the investment industry, safeguarding investors, and supporting 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 Manager, Financial & Operations Compliance manages field examinations to ensure that Dealer Member firms comply with CIRO’s prudential rules and are financially and operationally viable.

Core Responsibilities:

Manage the “prudential regulatory oversight” of a portfolio of Dealer Member firms to ensure that the risks to the investing public, CIRO, provincial securities commissions and the Canadian Investor Protection Fund (CIPF) are appropriately mitigated
Ensure that regulatory filings from Dealer Member firms are prepared in accordance with CIRO rules and filed on a timely basis
Ensure the effective and efficient planning and execution of the examination process
Initiate timely and appropriate regulatory intervention measures to minimize investor loss by Dealer Member firms facing financial or operational stress
Ensure department objectives are met through effective people leadership, training and development of the department

What You Bring

Education and Experience

Accounting designation, CPA preferred
Completion of an exam or course that demonstrates competency in the investment industry and role of the CFO such as the Chief Financial Officer Exam or other legacy courses such as the CFO Qualifying Exam
Completion of an exam or course that demonstrates competency in the investment industry such as the Canadian Investment Regulatory Exam (CIRE), and/or Retail Securities Exam and/or Institutional Securities Exam, or other legacy courses such as the Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH) Course
Completion of the CICA In-Depth Securities Course
5 years of experience in a regulatory or securities environment (including brokerage audit) with at least 2 years of people leadership

Key Skills and Competencies:

Strong knowledge of International Financial Reporting Standards (IFRS) and the Canadian Auditing Standards (CAS)
Strong audit skills
Strong working knowledge of CIRO prudential rules
Ability to detect, analyze and evaluate complex issues for capital implications
Ability to communicate complex issues in a clear, concise, and professional manner
Strong working knowledge of Enterprise Risk Management frameworks and practices at regulated financial institutions

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 $115,000 - $125,000. 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 Manager oversees field examinations and prudential regulatory compliance for a portfolio of Dealer Member firms to mitigate risks to investors and the market. They are responsible for planning examinations, ensuring timely regulatory filings, and providing leadership to the department team.

Requirements

Candidates must hold an accounting designation (CPA preferred) and have at least 5 years of experience in a regulatory or securities environment. The role requires specific industry certifications such as the Chief Financial Officer Exam and the Canadian Investment Regulatory Exam.

Skills

Financial compliance
Operations compliance
Audit
Prudential regulatory oversight
Risk management
People leadership
IFRS
Canadian Auditing Standards
Regulatory intervention
Financial analysis
Operational stress assessment
Communication
Enterprise risk management

Benefits

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

Visa sponsorship

Not detected in the job text

Keywords

Financial Compliance
Operations Compliance
CIRO
Dealer Member Firms
Prudential Rules
CPA
Audit
IFRS
Canadian Auditing Standards
Enterprise Risk Management
Regulatory Oversight
Capital Markets
Securities
Brokerage Audit
Financial Reporting
People Leadership
Compliance Management
Investor Protection
CIPF
Regulatory Intervention

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