Prudential Regulatory Oversight Manager
CIRO / OCRI
Apply prudential oversight and complex issue analysis as CIRO’s Manager, Financial and Operations Compliance in Toronto’s hybrid workplace.CIRO seeks a manager to oversee financial and operational compliance among Dealer Member firms. The position evaluates risks affecting investors, CIRO, provincial securities commissions, and the Canadian Investor Protection Fund. It combines field examinations, regulatory filings, intervention decisions, and people leadership.Key Responsibilities:
Oversee prudential risks across assigned Dealer Member firmsReview timely preparation and submission of regulatory filingsDirect examination planning and executionRespond to firms experiencing financial or operational stressDevelop department capabilities through training and leadershipRequirements:
Strong working knowledge of CIRO prudential rulesAbility to analyze complex issues for capital implicationsStrong knowledge of IFRS and Canadian Auditing StandardsInvestment industry and CFO competency examination or equivalent courseworkFive years’ regulatory or securities experience and two years’ people leadershipBring regulatory judgment, capital analysis, and examination leadership to CIRO’s investor protection mandate across Canadian capital markets.
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Oversee prudential risks across assigned Dealer Member firmsReview timely preparation and submission of regulatory filingsDirect examination planning and executionRespond to firms experiencing financial or operational stressDevelop department capabilities through training and leadershipRequirements:
Strong working knowledge of CIRO prudential rulesAbility to analyze complex issues for capital implicationsStrong knowledge of IFRS and Canadian Auditing StandardsInvestment industry and CFO competency examination or equivalent courseworkFive years’ regulatory or securities experience and two years’ people leadershipBring regulatory judgment, capital analysis, and examination leadership to CIRO’s investor protection mandate across Canadian capital markets.
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Vacancy posted 1 hour ago
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