Senior Financial Examiner

Canadian Investment Regulatory Organization (CIRO)
Toronto (Region), Ontario
March 12, 2024
April 11, 2024
Job Type
CPA status
CPA Member

Position Title: Senior Financial Examiner

Department: Financial Compliance

Location:  Toronto

Status: Permanent Full-time (Hybrid)

The Senior Financial Examiner’s primary responsibilities include financial examinations, financial filing reviews, reviewing audit working paper files, reviewing financial information for new member applications, and reviewing member requests for reorganizations or resignations, all with the objective of ensuring each Member is accurately reporting and maintaining adequate capital in accordance with CIRO Rules.    

Key Responsibilities:

  • Perform Examinations: Conduct financial examinations of CIRO Members and review of auditor working paper files following CIRO standard procedures.
  • Review and Analyze Financial Filings: Review financial filings to determine accuracy and completeness of information filed.  Follow and complete the standard financial review program.  Discuss and resolve issues arising from the review with Members.  Summarize and compile member data when necessary for analytical purposes.
  • Reporting and Advising: Identify significant financial issues and advise manager relating to appropriate action to be taken.  Support the Director in the preparation and analysis of financial information for internal and external purposes.
  • Follow-up: Record and follow-up with Member to ensure all appropriate changes are made on subsequent financial filings.
  • Respond to Inquiries: Respond to questions from Members, auditors, or other stakeholders relating to CIRO’s financial requirements.  

Education and Experience:

  • 5 years of accounting experience, preferably in the securities industry.
  • A professional accounting designation or equivalent work experience.
  • A degree or diploma in business or accounting.
  • Completion of the Canadian Securities Course and CFO Qualifying Examination Course considered an asset.
  • Audit experience preferred.

Key Skills and Competencies:

  • Excellent understanding of accounting principles and financial statements.
  • Good understanding of the operations of dealer members.
  • Extensive knowledge of securities industry regulations and their applications.
  • Sound judgment on relevance of findings, application of rules to different circumstances, necessity of altering ongoing review process based on situations found.
  • Effective written and oral communication skills.  
  • Ability to maintain professional behaviour with Members and auditors in communicating CIRO requirements.
  • Ability to keep informed of and adapt to changes in rules and their application.
  • Strong analytical skills.
  • Travel may be required from time to time, mainly within Ontario.
  • Interest in ongoing learning and professional development.

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

CIRO is committed to employment practices that are inclusive and accessible. Accommodations for individuals with disabilities are available. Should you require accommodation, please contact Human Resources.

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