Financial Operations Compliance Manager

Lead financial and operations compliance at CIRO in a hybrid Toronto position, applying audit expertise and prudential regulatory knowledge.The Manager oversees field examinations for Dealer Member firms within CIRO’s regulatory framework. This people leadership role supports financial and operational viability through regulatory filings, examination planning, and timely intervention. Strong IFRS, CAS, audit, and Enterprise Risk Management knowledge is central to the work.Key Responsibilities:
Manage prudential regulatory oversight for a Dealer Member firm portfolioEnsure regulatory filings comply with CIRO rules and deadlinesPlan and execute effective, efficient examination processesInitiate intervention measures during financial or operational stressLead department training, development, and objective deliveryRequirements:
Accounting designation, with CPA preferredCompleted CFO competency examination or equivalent investment industry courseCompleted applicable investment industry examination or recognized legacy coursesCompleted the CICA In-Depth Securities CourseFive years’ regulatory or securities experience, including two years’ people leadershipApply financial compliance, audit, and regulatory leadership expertise to protect investors and strengthen Canadian capital markets through CIRO.
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