Sr Membership Intake Examiner (Business Conduct Compliance)

Position Title: Sr Membership Intake Examiner (Business Conduct Compliance)

Department: Office of the Investor, Member Intake, and Innovation

Locations: Toronto, Vancouver, Calgary, Montreal

Status: Regular Full-time (Hybrid)

Day in the life: The Membership Intake Senior Examiner is accountable for analyzing and independently verifying the accuracy and completeness of Dealer Member applications and transaction requests (“Dealer Member transactions”) and works directly with firms applying for CIRO membership and existing Dealer Members proposing changes. The Examiner brings expertise in Business Conduct Compliance (BCC).

Responsibilities

• Perform subject matter expert review, analysis, and recommendation of assigned Dealer Member transactions from an MI-BCC perspective, consulting with relevant stakeholders.
• Act as File Lead for assigned transactions: main point of contact, drive file to completion, and ensure all ...