Membership Intake Examiner
CIRO / OCRI · Calgary, AB
- On site
- Full-time
- CA$95,000 / year
- Calgary, AB
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Job highlights
- Analyze and verify member applications for CIRO.
- Communicate complex regulatory matters clearly.
- Administer and track membership transactions.
- Enhance and document intake procedures.
- Contribute to Canadian capital market integrity.
About the role
Membership Intake Examiner
Department: Membership Intake
Location: Calgary, Montreal, Toronto, Vancouver
Status: Permanent Full-time (Hybrid)
Day in the life of:
As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) is committed to setting high regulatory standards for the investment industry, safeguarding investors, and supporting the integrity of Canada’s capital markets. Join a growing team and contribute to the dynamic and complex world of Canadian capital markets.
The MI Examiner is accountable for analyzing and independently verifying the accuracy and completeness of applications from current and prospective Dealer Members and will work directly with the firms and their counsel regarding their membership applications & transactions. The MI Examiner will have expertise in the areas pertaining to Registration for the purpose of conducting the Registration analysis for Dealer Member transactions, and is also accountable for maintaining the framework for the submission, intake, tracking and reporting of CIRO membership applications & transactions.
Core Responsibilities:
Compliance Review of Member Transactions
- Provide Registration subject matter review, analysis and recommendation of assigned membership transactions within prescribed timelines, working in consultation with the applicable MI Manager.
- Provide effective verbal & written communications to current/prospective Dealer Members and their counsel regarding their membership transactions. This requires effective communication of complex matters in a clear, concise, and complete manner to ensure the Members’ understanding and responsiveness.
- Ensure complete tracking & documentation of the compliance analysis of membership transactions for the purpose of oversight and internal/external reporting.
- Assist in the maintenance of MI procedures for the Registration analysis of membership transactions.
- Complete appropriate training to develop & maintain the necessary expertise on Dealer Member business models & products.
- Represent MI effectively in meeting with internal & external stakeholders, which may include senior management, Dealer Members and their counsel, and the CSA.
Intake and Administration of Dealer Member Transactions
- Perform the intake and administration duties associated with CIRO membership transactions and their associated registration applications.
- Review, acknowledge, and complete the preliminary review (for completeness) of membership transactions in accordance with MI department procedures.
- Manage inquiries & escalations in the Member Intake inbox.
- Provide effective verbal & written communications to Dealer Members and/or their counsel regarding their membership transactions.
- Create & publish public-facing communications on CIRO’s website relating to membership transactions (e.g., bulletins, notices, guidance, forms).
- Initiate the drafting & formatting materials submitted by MI to CIRO’s Board of Directors for review & approval.
- Conduct ongoing quality assurance of MI files in accordance with MI procedures and validate the results & corrective measures for reporting to senior management.
Process Enhancement and Documentation
- Working in consultation with MI management and other internal stakeholders, continuously assess and enhance MI procedures, process maps, checklists, and other supporting materials, to increase efficiencies and accuracy.
- Develop & present training materials for internal stakeholders for MI processes and procedures, as necessary.
Key Skills and Competencies:
Must-haves
- University degree, professional designation or equivalent education is preferred.
- A minimum of 5 years’ experience with a Dealer Member, securities regulator or self-regulatory organization, preferably in a compliance function.
- A minimum of 2-3 years’ experience in the Registration area, either at a Canadian regulator or Canadian investment dealer.
- Experience working independently on complex initiatives from cradle to grave.
- Experience in process documentation.
- Previous project management experience preferred.
- Experience in and strong knowledge of regulatory processes and associated rules.
Nice to Haves
- Solid understanding of the Investment Dealer and Partially Consolidated Rules and the Mutual Fund Dealer Rules.
- Strong technical knowledge of Registration requirements on the investment dealer and mutual fund dealer platforms, including direct experience with NRD.
- Intermediate to advanced knowledge Microsoft Office, word processing tools and presentation tools.
- Strong problem-solving and critical-thinking skills to address complex issues.
- Ability to effectively manage competing and/or changing priorities while working within prescribed timelines.
- Ability to effectively communicate complex matters both orally and in writing.
- French language proficiency is considered an asset.
- Proficiency in other compliance areas, such as Business Conduct Compliance / Sales Compliance, Trading Conduct Compliance, and Financial & Operations Compliance / Financial Compliance, is considered an asset.
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.
At CIRO, you’ll be part of an organization driven by Pride in Excellence, a strong Focus on Well‑being, and A Shared Purpose that connects our people to meaningful work. We’re committed to fostering an inclusive, supportive environment where you can grow and make an impact. Learn more about what it’s like to build your career at CIRO by exploring our Careers page: https://www.ciro.ca/about-ciro/careers
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.
We are committed to creating an inclusive and barrier-free recruitment and selection process across Canada. We welcome applications from all qualified individuals and are dedicated to providing accommodations upon request for candidates participating in all aspects of the recruitment process, in accordance with applicable human rights and accessibility legislation.
Our Recruitment Process
This posting reflects an active vacancy on our team We use automated (AI) tools to assist with candidate sourcing and communications. Applications are reviewed by our hiring team and hiring decisions are made by people. This role has a hiring range of $85,000 – 95,000 with the placement and offered salary being based on knowledge, skills, education/training and experience, as well as external market conditions and internal equity.
While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted. #Hiring
Key skills/competency
- Membership Intake Examiner
- Regulatory Compliance
- Securities Regulation
- Dealer Member Applications
- Registration Analysis
- Investment Industry
- Capital Markets
- Process Documentation
- Stakeholder Communication
- Problem-Solving
Skills & topics
- Membership Intake Examiner
- Regulatory Compliance
- Securities Regulation
- Dealer Member
- Registration Analysis
- Investment Industry
- Capital Markets
- Compliance Officer
- Financial Regulation
- Toronto
- Calgary
- Montreal
- Vancouver
- Hybrid
- Full-time
How to get hired
- Tailor your resume: Highlight your 5+ years experience with Dealer Members or regulators and 2-3 years in Registration.
- Showcase expertise: Emphasize your knowledge of regulatory processes, rules, and ideally NRD.
- Quantify achievements: Provide examples of independently managing complex initiatives and process documentation.
- Address hybrid work: Mention your understanding of hybrid environments and collaboration skills.
- Network if possible: Connect with current CIRO employees on LinkedIn for insights.
Technical preparation
Behavioral questions
Frequently asked questions
- What is the salary range for the Membership Intake Examiner role at CIRO?
- The Membership Intake Examiner role at CIRO has a hiring range of $85,000 – $95,000 annually. The final offered salary will be determined based on your knowledge, skills, education, training, experience, and alignment with market conditions and internal equity.
- Is the Membership Intake Examiner position remote, hybrid, or on-site?
- This Membership Intake Examiner position is a hybrid role, offering a balance between working from home and in the office. Specific details regarding the hybrid schedule will likely be discussed during the interview process.
- What are the primary responsibilities of a Membership Intake Examiner at CIRO?
- As a Membership Intake Examiner at CIRO, you will analyze and verify membership applications, communicate with firms and counsel, administer and track membership transactions, and contribute to process enhancements and documentation within the Canadian investment industry.
- What kind of experience is most valuable for the Membership Intake Examiner role at CIRO?
- The most valuable experience for this role includes a minimum of 5 years with a Dealer Member, securities regulator, or self-regulatory organization (preferably in compliance), and 2-3 years specifically in the Registration area at a Canadian regulator or investment dealer. Experience with complex initiatives and process documentation is also highly preferred.
- Does CIRO use AI in its hiring process for the Membership Intake Examiner position?
- Yes, CIRO utilizes automated (AI) tools to assist with candidate sourcing and communications for roles like the Membership Intake Examiner. However, final application reviews and hiring decisions are made by people on the hiring team.
- What are the key skills required for a successful Membership Intake Examiner application?
- Key skills for this role include strong analytical abilities, excellent verbal and written communication, experience with regulatory processes and rules, process documentation, and the ability to work independently on complex initiatives. Proficiency in Microsoft Office is also important.
- Are there opportunities for professional development at CIRO?
- Yes, CIRO offers paid continuous learning and development opportunities, including support for obtaining professional designations, which is a significant benefit for career growth.