Senior Financial & Operations Compliance Examiner

Location: Calgary
Job Code: 2014228
# of openings: 1


Position Title:




Senior Financial and Operations Compliance Examiner

Financial and Operations Compliance


Permanent Full-time

The position is accountable for analyzing and independently verifying the accuracy and completeness of the submitted information by member firms within the context of the regulatory reporting framework.

Key Responsibilities:

  • Perform complex field examinations of the operations of assigned member firms.
  • Based on the examination assignment given by the Manager, performs preliminary research and information gathering activities for assigned projects; identify applicable policies and regulations, review prior examination reports and working papers
  • Plan the examination of a Member firm.  This includes performing a risk evaluation of the Member and determining the necessary customization to the standard examination procedures and/or scope.  The revised program is reviewed by the responsible Manager/Director, and is approved by the responsible Vice President
  • Review complex financial and/or management procedures to evaluate the adequacy of internal controls
  • Interview staff involved in performing the procedures
  • Develop documentation describing the workflow; identify desired control objectives (based on defined minimum requirements; identify how control objectives are being met; evaluate risk potential, as required
  • Ensure compliance with minimum audit requirements prescribed under IIROC rules and policies
  • Supervise Examiners in the field to ensure examination procedures are properly conducted within established timeframes.


  • Chartered Accountant Degree
  • 5 years’ experience as an auditor at a Chartered Accounting firm or similar experience with 1-2 years within the securities or regulatory environment
  • Completion of the Canadian Securities Course within six months of employment
  • Completion of the CFO Qualifying Examination within one year of employment
  • Completion of the CICA In-Depth Securities Course
  • Completion of Canadian Securities Institute “Derivatives Course” within one year of employment

Key Skills and Competencies:

  • Excellent understanding of how to document business processes, identify related internal controls, and develop appropriate compliance tests
  • Solid understanding of the objectives of the examination process
  • Strong audit and examination techniques, (interviewing, documentation, development of test plans to identify the scope and extent of required testing)
  • Superior knowledge of the Generally Accepted Auditing Standards and Accounting Principles and the International Financial Reporting Standards
  • Ability to communicate complex matters both orally and in writing, in a clear, concise, complete, courteous, and logical manner to ensure Members’ understanding and responsiveness
  • Ability to detect, analyze, and evaluate complex deviations, deficiencies, and non-compliance with generally accepted accounting principles and IFRS, internal control objectives, rules and policies

Although we appreciate all applicants, only those who most closely match job requirements may be contacted for interview.


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