Senior Registration Officer

We invite applications for the

Senior Registration Officer

position at

CIRO / OCRI .

About Us As a self‑regulatory organization, our mission is to promote healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures. At the Canadian Investment Regulatory Organization (CIRO), we are committed to setting high regulatory standards for the investment industry, safeguarding investors, and supporting the integrity of Canada’s capital markets.

Position Details Title:

Senior Registration Officer

Department:

Registration

Location:

Toronto, ON

Employment Type:

Regular, full‑time

Working Arrangement:

Hybrid

Seniority Level:

Mid‑Senior

Job Function:

Administrative

About This Opportunity The Senior Registration Officer evaluates and approves registration applications, ensuring all regulatory requirements regarding proficiency, experience, integrity, and conflicts of interest are met in accordance with CIRO, National Instruments, and securities acts. The role helps protect investors by applying “fit and proper” standards and determining regulatory action when concerns arise.

Core Responsibilities

Handle registration and approval applications of moderate to complex nature, reporting to the Manager Registration.

Conduct extensive research, analysis, and review of information pertaining to registration, ensuring ongoing suitability based on criteria and type of registration.

Gather and evaluate all necessary information to make written recommendations for matters with special circumstances, as outlined in CIRO guidelines, and for discretionary exemptions from registration requirements under CIRO Rules.

Identify and monitor ongoing registration requirements to ensure that registered firms and individuals remain qualified and handle detrimental issues appropriately.

Develop subject‑matter expertise on CIRO’s rules, policies, by‑laws, regulations governing registration, and relevant portions of securities legislation and National Instruments.

Assist Dealer Members’ registration personnel with registration filings through the National Registration Database.

Liaise with CIRO Regional Offices and provincial Securities Commissions to discuss regulatory requirements and exchange information on individual applicant filings.

What You Bring

Sound knowledge of CIRO Rules and related policies, as well as standards and practices of the Canadian Securities Administrators.

Strong analytical, research, organizational, and problem‑solving skills; detail oriented.

Ability to work in fast‑paced, high‑volume environments.

Strong written and verbal communication skills.

Strong service skills when dealing with sensitive information and remaining patient under pressure.

Ability to handle confidential information with sensitivity.

Good file‑management and organizational skills.

Ability to work proactively, resourcefully, and independently to prioritize and complete tasks within established service timelines.

Proficiency with MS Word, Excel, and a willingness to learn new software/programs.

Ability to work independently and collaboratively with other people and departments.

Education and Experience

Proficiency with the National Registration Database.

Post‑secondary education (university degree or college diploma).

Completion of an exam or course demonstrating competency in the investment industry (e.g., Canadian Investment Regulatory Exam, Retail Securities Exam, Institutional Securities Exam, Canadian Securities Course, Conduct and Practices Handbook).

Minimum five years of financial industry experience, preferably in registration at a dealer member, another self‑regulatory organization, securities commission, or relevant arena with strong analytical and synthesis capacity.

What We Offer

Competitive total rewards program including performance‑based bonus.

Hybrid work environment.

Employer‑paid health benefits and spending account with flexibility to meet individual or family needs.

Defined contribution pension plan with company matching starting on your first day.

Paid flex days and wellness days.

Maternity and parental leave top‑up.

Paid continuous learning and continuing development including designations.

Why CIRO With offices across Canada—from Vancouver to Montreal—CIRO promotes 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 a career with us is purposeful: 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.

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.

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.

Salary range is $70,000 – $84,000, based on knowledge, skills, education/training, and experience, as well as external market conditions and internal equity.

Only applicants who closely meet the position requirements will be contacted.

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