Registration Officer (12 months contract)

Position Title: Registration Officer 

Department: Registration

Location: Toronto

• Status: Contract 12 months (Hybrid) 

Day In The Life Of:

CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces. CIRO’s Registration department acts a gatekeeper to the Canadian capital markets by ensuring that individuals are suitable for registration and approval. The Registration Officer is a key member of the Registration team, responsible for review of certain registration applications and information notices required to be filed via the National Registration Database (NRD). 

Core Responsibilities:

• Reviews registration filings of moderate complexity. 
• Conducts registration gatekeeper functions through quality, timely and consistent registration review of NRD applications and notices. 
• Reviews information relevant to registration using internal and external sources. 
• Corresponds with filers and their representatives requesting further information, where applicable. 
• Accurately assesses and recommends an appropriate course of action for filings. 
• Maintains detailed records of reviews and adheres to policies and procedures for reviewing, analyzing and recording of filings. 
• Identifies and escalates sensitive, urgent or unusual regulatory issues or concerns. 
• Supports information resources that assist with registration functions. 
• Liaises with CIRO Regional Offices to provide information on registration filings. 
• Assists with other department initiatives where required. 

Key Skills And Competencies:

• Good understanding of CIRO Rules and related policies, and instruments. 
• Detail oriented with good analytical and problem-solving skills. 
• Ability to work in fast-paced high-volume environments. 
• Strong written and verbal communication skills. 
• Strong service skills when dealing with sensitive information with members and the public 
• Ability to deal with confidential information in a sensitive manner. 
• Good file management and organizational skills. 
• Ability to work proactively and independently, in order to prioritize and complete tasks within established service timelines. 
• Proficiency with a variety of computer software applications, including MS Word, Excel. 

Education/Experience:

• Proficient on the National Registration Database. 
• Post-Secondary education (University Degree or College Diploma)  
• Canadian Securities Course and the Conduct and Practices Handbook Course or other related courses are considered assets. 
• Minimum 2-3 years of financial industry experience, preferably in registration either at a dealer member, another self-regulatory organization or securities commission or relevant experience where strong analysis and synthesis capacity were acquired. 

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 
• Maternity Leave Of Absence /Paternity Leave Of Absence top up 
• Paid continuous learning and continuing development including designations. 

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.  

No part of our recruitment process uses artificial intelligence (AI) to screen, triage, or assess candidates. All applications are reviewed by our hiring team.

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

#Li-Hybrid #Hiring