Membership Intake Examiner

Job Responsibility:

Position Title: Membership Intake Examiner (FinOps & Program Admin)

Department: Membership Intake (MI)

Location: Vancouver, Calgary, Montreal and Toronto

Status: Permanent Full-Time (Hybrid)

Target Hiring Range: $80,000 - $95,000

The MI Examiner is accountable for developing and maintaining the framework for the submission, intake, tracking and reporting of CIRO membership applications & transactions. The Examiner's focus will be on developing & maintaining effective data reporting & analytics, automation opportunities, and other infrastructure to support MI's ongoing management of Dealer Member transactions.

The MI Examiner is also accountable for analyzing and independently verifying the accuracy and completeness of applications from current & prospective Dealer Members and will work directly with the firms and their counsel on regarding their membership applications & transactions. The Examiner will have expertise in the areas pertaining to Financial & Operations Compliance (FinOps)/ Financial Compliance for the purpose of conducting the analysis of Dealer Member transactions.

Key Responsibilities:

Intake & Administration of Dealer Member Transactions

• Review, acknowledge, and complete the gatekeeper review of membership transactions in accordance with MI department procedures. Identify opportunities for automation within the intake & administration process and lead the implementation of those automation capabilities.
• Initiate & manage the workflow for all membership transactions through MI's workflow management tools in accordance with MI Department Procedures.
• Conduct ongoing monitoring of MI's adherence to established service standards and escalate issues to the MI VP or delegate, when necessary
• Manage inquiries & escalations in the Membership Coordinator inbox.
• Provide effective verbal & written communications to Dealer Members and/or their counsel regarding their membership transactions.
• Support the MI VP with the administration of the Membership Advisory Committee.
• Assist in the development & implementation of MI's formal quality assurance program, as required by internal audit.
• Conduct ongoing quality assurance of MI files in accordance with MI procedures and validate the results & corrective measures for reporting to senior management.

Data Reporting, Analytics and Process Enhancement

• Develop & maintain efficient and accurate reporting of Dealer Member transactions for distribution to applicable internal & external stakeholders.
• Perform data analysis & reporting of membership transactions to measure performance against service standards; identify trends in transactions, conduct forecasting; and provide other valuable information to drive internal efficiencies and improved member experience.
• Maintain accurate and accessible data records (Clarizen, TM+, SharePoint, ShareFile, etc.) for all MI files.
• Proactively lead and implement enhancements to MI data repositories to reduce manual touchpoints and increase data integrity.
• Lead the identification & implementation of automated Member-facing solutions to increase efficiencies and standardize the member experience (e.g., automation of Dealer Member transaction requests).
  • Act as the first point of contact for technical issues relating to MI tools. Liaise with software developers, as applicable.
  • Ensure all MI-owned pages of CIRO's public website are current. Coordinate any required updates with the relevant stakeholders.

Education and Experience:

• Professional Accounting and/or Chartered Financial Analyst designation

• 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.

• Compliance experience at a Canadian regulator or Canadian investment dealer is preferred.
• Must have experience working independently on complex initiatives from cradle to grave.
• Strong technical knowledge of IT applications and the ability to effectively transfer this knowledge to appliable internal & external stakeholders.
• Successful completion of the Canadian Securities Course.
• Successful completion of the CFO Qualifying Exam.
• Successful completion of the CICA In-Depth Securities Course.
• Experience in and strong knowledge of regulatory processes and associated rules.

Key Skills and Competencies:

• Solid understanding of the Investment Dealer and Partially Consolidated Rules and the Mutual Fund Dealer Rules.
• Strong technical knowledge of FinOps / Financial Compliance requirements on the investment dealer and mutual fund dealer platforms.
• Intermediate to advanced knowledge Microsoft Office and word processing tools.
• Advanced knowledge Microsoft Excel, Tableau, BI Power Tools and/or other data mining & presentation tools.
• Strong problem-solving and critical-thinking skills to address complex issues.
• Ability to effectively manage competing and/or changing priorities while working within prescribed timelines.
• Ability to effectively communicate complex matters both orally and in writing.
• French language proficiency is considered an asset.
• Proficiency in other compliance areas, such as Business Conduct Compliance / Sales Compliance, Trading Conduct Compliance, and Registration, is considered an asset.

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

CIRO 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.

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