Position Title: Membership Intake Manager (BCC, TCC)
Department: Office of the Investor, Member Intake, and Innovation
Location: Toronto, Montreal, Calgary, Vancouver
Status: Permanent Full-time (Hybrid)

Day in the life of:
The Membership Intake Manager is an accountable owner of the membership process. They will work directly with applicants for new membership in CIRO, as well as existing Member firms that request corporate changes and material business transactions (that are in-scope for the department). The Membership Intake Manager will have expertise primarily in Business Conduct Compliance (BCC) and as well as Trading Conduct Compliance (TCC).

Core Responsibilities:

• Lead the management of membership applications and in-scope changes in business. This entails being the main point of contact for the applicant and for the department VP for with respect to the overall application or submission. The Lead Manager is also responsible for driving the file to full completion, including ensuring all relevant internal reviews and milestones are completed within the required timelines.
• Provide subject matter expert review, analysis and recommendation of in-scope membership applications and transactions from a BCC and/or TCC perspective, working in consultation with BCC and/or TCC, as appropriate.
• Assist in the management of the written procedures for the BCC and TCC analysis of membership applications and in-scope change in business submissions for Membership Intake.
• Ensure complete tracking and documentation of the BCC and/or TCC analysis of a membership application or transaction, as applicable, for the purpose of oversight and internal/external reporting.
• Direct oversight and support for the Membership Intake Senior Examiner role(s) (BCC).
• Leads process improvement and implementation relative to the application intake and analysis processes
• Provides solid business judgment on the handling of complex and innovative membership issues such as onboarding crypto-asset trading platforms
• Works closely with Member Regulation Policy and/or Market Regulation Policy teams to focus policy development on key issues and align on objectives
• Liaises with other Canadian regulators to coordinate efforts, and with global regulators to exchange information
• Complete training, as appropriate and/or assigned, to develop and maintain the appropriate expertise on new business models and products associated with membership applications and transaction submissions.
• Represent Membership Intake effectively in meetings with internal and external stakeholders, which includes senior management, applicants or their counsel, and the CSA jurisdictions.

Skills and Competencies:
Must-Haves

• A minimum of 5 years’ experience in a compliance function with a Dealer Member, securities regulator or self-regulatory organization
• Previous management experience preferred
• Experience in and strong knowledge of regulatory processes and associated rules
• Expert in CIRO Rules relating to new application process and Member transaction changes
• Strong problem-solving and critical-thinking skills to address complex issues
• Knowledgeable about the various procedures designed to support additions to and amendments to the CIRO Rules
• Knowledge of all departments in terms of functions and mandates in CIRO
• Ability to maintain the highest standard of confidentiality in all matters related to Board materials and sensitive information
• Superior knowledge of Canadian securities laws

What we offer:

• Competitive base salary in alignment with market
• Performance based bonus
• Hybrid work environment
• Employer paid Health Benefits and Spending Account that offer flexibility to meet your individual or family needs as of day one.
• Defined Contribution Pension Plan with company matching that starts on your first day of employment.
• Paid flex days and sick days
• Vacation days
• MLOA/PLOA top up Paid continuous learning and continuing development as well as designation.

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 a regulator, we understand that we are all investors. Therefore, a career with us is a career with purpose, 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.
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