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Added 59 mins ago
T
Vice President, Trade and Working Capital
TD
Toronto, ON
- Full-time
TD Securities ('TDS') provides a wide range of capital market products and services to corporate, government, and financial institution ('FI') clients through Global Transaction Banking…
Added 1 hour ago
RB
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Vancouver, BC
- Full-time
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Added 2 hours ago
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National Bank of Canada
Ancaster, ON
- Full-time
Carry out routine operations related to financial transactions (e.g., purchases and sales of securities, necessary transaction adjustments)
Added 4 hours ago
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Associate
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Vancouver, BC
- Full-time
The RBC Dominion Securities branch located in Vancouver is looking for an Associate to provide concierge level administrative support to a successful Advisory Team.
Added 11 hours ago
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Client Advisor
Royal Bank of Canada
Ladysmith, BC
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Mutual Funds accreditation (i.e., Investment Funds in Canada or the Canadian Securities Course)
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- Full-time
Mutual Funds accreditation (i.e., Investment Funds in Canada or the Canadian Securities Course)
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Banking Advisor- EN
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Saguenay, QC
- Full-time
Mutual Funds accreditation, or willingness to obtain it (i.e., Investment Funds in Canada or the Canadian Securities Course)
Added 12 hours ago
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Associate- EN
RBC Dominion Securities
Montreal, QC
- Full-time
RBC Dominion Securities is a relationship-focused investment and wealth management firm that consistently ranks #1 in Canada. We are proud of our collaborative, supportive culture that…
Added 12 hours ago
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Associate
RBC Dominion Securities
Vancouver, BC
- Full-time
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Added 13 hours ago
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Associate
Royal Bank of Canada
Vancouver, BC
- Full-time
RBC Dominion Securities is a relationship-focused investment and wealth management firm that consistently ranks #1 in Canada. We are proud of our collaborative, supportive culture that…
Added 13 hours ago
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Associate Advisor
Royal Bank of Canada
Vancouver, BC
- Full-time
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Added 14 hours ago
C
Associate Financial Advisor
CIBC
Ottawa, ON
- Full-time
…difference in our clients' lives. As an Associate Financial Advisor, you’ll form a deep understanding of your personal and small business clients’ needs as you recommend simple,…
Added 14 hours ago
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- Full-time
…services support, and exceptional client service. As a Financial Advisor, you’ll deliver on CIBC’s Imperial Service approach, acting as a single point of contact for your clients and…
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Business Architect Portfolio Management - Rise Program
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Toronto, ON · FCP
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The Portfolio Management workstream encompasses the managed-account lifecycle, including discretionary and advisor-managed models, IPS management, portfolio customization, asset-allocation…
Added 15 hours ago
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Associate
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Montreal, QC
- Full-time
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Added 15 hours ago
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Client Advisor
Royal Bank of Canada
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- Part-time
Mutual Funds accreditation (i.e., Investment Funds in Canada or the Canadian Securities Course)
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Client Advisor Intern
Royal Bank of Canada
New Tecumseth, ON
- Part-time
· Mutual Funds accreditation (i.e., Investment Funds in Canada or the Canadian Securities Course)
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Client Advisor
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Associate
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Laval, QC
- Full-time
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Added 15 hours ago
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Associate Advisor
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Associate Advisor
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RBC Dominion Securities is seeking an Associate Advisor to join a dynamic advisory team specialized in providing wealth management services to a sophisticated clientele. You will deepen…
Added 15 hours ago
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Client Advisor
Royal Bank of Canada
NS · INVERNESS, Nova Scotia
- Full-time
Mutual Funds accreditation (i.e., Investment Funds in Canada or the Canadian Securities Course)
Added 15 hours ago
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Associate Advisor
RBC
Vancouver, BC
- Full-time
The RBC Dominion Securities Inc. (“RBC DS”) Branch located in downtown Vancouver is looking for an experienced Associate Advisor to join a premier Portfolio Manager (“PM”) team by providing…

CIRO / OCRI

Policy Advisor

Toronto, ON, M5H 0B4, Canada
Montreal, QC, H2Z 0B2, Canada
AB, Canada
Vancouver, BC, V6E 3R5, Canada
Calgary, AB, T2P 2V7, Canada

Full-time

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Job details

Job type: Full-time
Experience: A minimum of 5 years of experience in securities regulation, including all aspects of regulatory policy development
Posting language: English
Posted: Oct 5, 2026

Original job description

Reporting to the Director, Financial and Operations Policy, the Policy Advisor is a member of the Member Regulation Policy Team (MRP) and is responsible for the development, drafting, review and approval of policy applicable to both investment dealers and mutual fund dealers. The Policy Advisor also participates in the other operational and day-to-day work of MRP.

Core Responsibilities:

Develop and draft rules and guidance related to financial and operational requirements applicable to Dealer Members
Work in collaboration with other internal staff and external stakeholders as required to obtain approval of proposed Dealer Member regulation policy initiatives
Provide support to advisory committees by preparing meeting materials and presenting policy initiatives to the committees
Support and represent the organization externally, provide interpretation of rules applicable to Dealer Members, and conduct presentations to others (e.g., other regulatory staff, Dealer Members and other applicable stakeholders) on various matters of interest to the investment industry

Key Skills and Competencies:

Must-haves

University degree in law, business, finance or equivalent
Professional designation in field of specialization (i.e. holds Chartered Professional Accountant designation, or is a Chartered Financial Analyst, or holds an equivalent professional designation)
A minimum of 5 years of experience in securities regulation, including all aspects of regulatory policy development

Nice to Haves:

Keen interest in policy development
Excellent verbal and written communication skills, including research and drafting skills
Proficiency in Microsoft products such as Word and PowerPoint
Ability to multi-task, prioritize and manage time appropriately
Knowledge of investment dealer or mutual fund dealer rules and guidance
Understanding of the structure of the investment industry and applicable legislation, Dealer Member compliance issues, and current policy issues affecting the investment industry would be an asset
Knowledge of the investment industry regulatory regime in other countries would be an asset
Bilingual (English and French), a strong asset
Dealer financial and operational knowledge and experience
Experience in regulatory policy development

What we offer:

Competitive base salary in alignment with market
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 sick days *
Vacation days
Maternity Leave Of Absence/Paternity Leave Of Absence top up *
Paid continuous learning and continuing development including designations

*Asterisked offerings are not applicable to contracts

Why the Canadian Investment Regulatory Organization (CIRO):

Our purpose and our impact:

With offices across Canada - from Vancouver to Montreal, our mission is to promote healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures. As regulators, we understand that we are all investors, and therefore a career with us is a purposeful career: protecting our future.

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.

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.

Looking for a career where you can safeguard the integrity of Canadian markets? Join CIRO and be part of the team that secures our financial future.

At CIRO, you’ll be part of an organization driven by Pride in Excellence, a strong Focus on Well‑being, and A Shared Purpose that connects our people to meaningful work. We’re committed to fostering an inclusive, supportive environment where you can grow and make an impact. Learn more about what it’s like to build your career at CIRO by exploring our Careers page: https://www.ciro.ca/about-ciro/careers

Our Commitment:

CIRO is an equal opportunity employer and is committed to providing employment accommodation in accordance with the Ontario Human Rights Code and the Accessibility for Ontarians with Disabilities Act, 2005 (AODA). CIRO will provide accommodation to job applicants with disabilities throughout the recruitment process. Should you require accommodation, please contact Human Resources.

We are committed to creating an inclusive and barrier-free recruitment and selection process across Canada. We welcome applications from all qualified individuals and are dedicated to providing accommodations upon request for candidates participating in all aspects of the recruitment process, in accordance with applicable human rights and accessibility legislation.

Our Recruitment Process:

This posting reflects an active vacancy on our team
We use automated (AI) tools to assist with candidate sourcing and communications. Applications are reviewed by our hiring team and hiring decisions are made by people.
This role has a hiring range of $108,000 - $133,500 with the placement and offered salary being based on knowledge, skills, education/training and experience, as well as external market conditions and internal equity.

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

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More about this job

Responsibilities

The Policy Advisor is responsible for developing, drafting, and reviewing regulatory policies applicable to investment and mutual fund dealers. They also support advisory committees and represent the organization externally by providing rule interpretations and industry presentations.

Requirements

Candidates must hold a university degree in law, business, or finance along with a professional designation such as CPA or CFA. A minimum of 5 years of experience in securities regulation and policy development is required.

Skills

Policy development
Regulatory policy
Securities regulation
Financial requirements
Operational requirements
Drafting rules
Stakeholder management
Research skills
Communication skills
Microsoft Word
Microsoft PowerPoint
Time management
Investment dealer rules
Mutual fund dealer rules
Compliance
Financial analysis

Benefits

Performance based bonus
Hybrid work environment
Health benefits
Spending account
Company matching
Paid flex days
Sick days
Vacation days
Maternity leave top up
Paternity leave top up
Continuous learning
Continuing development

Visa sponsorship

Not detected in the job text

Keywords

Policy Advisor
Financial Policy
Operations Policy
Member Regulation
Investment Dealer
Mutual Fund Dealer
Securities Regulation
CPA
CFA
Regulatory Oversight
Capital Markets
Compliance
Stakeholder Engagement
Policy Development
Financial Industry
Legislation
Reporting
Drafting
Research
Microsoft Office

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