Trading Conduct Compliance Examiner (18 month contract)
Montréal, QCCIRO
3+ YOECandidates need at least three years in the securities industry, ideally in compliance or a trading desk at a dealer. They need knowledge of securities rules, a solid understanding of equity and fixed income transaction processes, and full English and French bilingualism.
UMIR, IDPC Rules
Trading Conduct Compliance Examiner
Vancouver, BCCIRO
5+ YOECandidates need at least five years in the securities industry, preferably in compliance or a dealer trade desk. They must have completed the Canadian Securities Course and Conduct and Practices Handbook, and know securities rules and equity and fixed income trading and back-office processes.
Regulatory compliance, CIRO, Securities, Improve business processes, Presentation skills, CSC
Case Assessment Analyst (12 month contract)
Montréal, QC +3CIRO
Candidates need financial industry experience and a broad understanding of the Canadian securities industry. They must know CIRO's IDPC and MFD rules and securities reporting requirements, be strong in written and verbal communication, and be proficient in Excel, Word and Power BI.
ComSet, Excel, Word, Power BI
Trading Conduct Compliance Examiner
Toronto, ONCIRO
5+ YOECandidates need at least five years in the securities industry, preferably in compliance or a dealer trade desk. They must know securities rules and understand equity and fixed income transaction processes. Completion of the Canadian Securities Course and Conduct and Practices Handbook is required.
back-office systems