Claim examiner Jobs in Scarborough, ON

Join to apply for the Examiner, Business Conduct Compliance role at CIRO / OCRI

3 days ago Be among the first 25 applicants

Join to apply for the Examiner, Business Conduct Compliance role at CIRO / OCRI

Position Title : Business Conduct Compliance Examiner

Department : Business Conduct Compliance

Location : Toronto

Status : Permanent Full-Time (Hybrid)

Day in the life of :

As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) takes our responsibility of setting high-quality regulatory and investment industry standards seriously, while protecting investors and supporting healthy capital markets in Canada.

In Business Conduct Compliance (BCC), we take great pride in what we do. By joining our dynamic and collaborative team of industry professionals, you will have the opportunity through the examination process to make a difference for investors and the capital markets.

As a key member of an examination team, the BCC Examiner conducts field reviews of sales and business conduct activities of Dealer Member firm head office and business locations. You will interpret and apply CIRO Dealer Member Rules to the evolving business models of firms.

Core Responsibilities :

• Conduct an in-depth risk assessment of firm business activities to develop a comprehensive examination plan by identifying high-risk areas, documenting the risk levels of assigned examination modules, and assessing the risks associated with new products or business lines, tailoring examination procedures to address compliance with regulatory requirements
• Perform examinations by conducting walkthroughs to understand workflows and document processes, evaluating compliance with regulatory standards and assessing the effectiveness of internal controls under supervision
• Complete fieldwork within the allocated timeline, addressing review notes promptly to maintain examination quality and efficiency
• Clearly document deficiencies and communicate the findings to the firm by collaborating with the examination team to compile comprehensive examination reports, ensuring that findings are well-supported and assist with the review firm’s remediation plans for compliance with regulatory requirements
• Recommend improvements to the examination processes and methodologies, providing feedback to enhance program efficiency and effectiveness
• Interact with other compliance departments for planning, exam scheduling and info sharing purposes
• With the lead examiner, draft findings and the examination report utilizing plain language

Key Skills and Competencies :

Must-haves

Nice to Haves

What we offer :

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.

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.

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

hiring

Seniority level

Seniority level

Mid-Senior level

Employment type

Employment type

Full-time

Job function

Job function

Finance and Sales

Referrals increase your chances of interviewing at CIRO / OCRI by 2x

Get notified about new Compliance Examiner jobs in Toronto, Ontario, Canada .

Associate, Investigations, Diligence and Compliance - Core

Associate, Investigations, Diligence and Compliance - Core

Associate, Compliance Monitoring (14-month contract)

Associate, Compliance Risk and Diligence

Internal Security Investigator - Relocate to Saudi Arabia, Relocate to Saudi Arabia, Permanent Expat Family Relocation Package

Senior Analyst, AML Advisory - Canadian Banking / Global Wealth Management

Associate Manager, Compliance Risk and Diligence

Richmond Hill, Ontario, Canada 3 weeks ago

Greater Toronto Area, Canada CA$85,000.00-CA$95,000.00 2 weeks ago

Senior Financial Crime Risk Business Oversight Analyst (3431)

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

J-18808-Ljbffr