CIRO Proficiency Committee – Call for Applications

Executive Summary

The Canadian Investment Regulatory Organization (CIRO) is seeking applications for membership on the Proficiency Committee.

Committee Mandate

The mandate of the Committee is to advise CIRO on matters relating to proficiency policy and operations. This includes matters relating to licensing standards and continuing education.

The Committee will be an important source of practical industry expertise and input.

Work of the Committee

The Committee will support CIRO’s proficiency work including providing feedback on CIRO’s:

• New Investment Dealer proficiency model,
• Competency profiles, and
• Continuing education harmonization efforts.

CIRO may strike ad hoc working groups or committees to conduct some of these activities.

Committee Membership

The Committee is comprised of up to fifteen members. Committee membership draws from the expertise of Dealer Member (investment dealers and mutual fund dealers) and non-Dealer Member personnel with experience in the following areas:

• compliance and legal
• proficiency
• education and training
• retail
• institutional
• various product types including:
  • securities
  • derivatives

This is a pan-Canadian committee. Membership reflects the different sizes and types of Dealer Members and different regions of Canada.

Why get involved?

CIRO has high proficiency standards and a robust proficiency regime.

Proficiency is a strategic priority for CIRO. High proficiency standards play a key role in investor protection and the integrity and efficiency of capital markets.

Our collaboration ensures continuation of the highest levels of proficiency, professionalism and ethics on the CIRO platform.

Conduct and Conflicts

Committee members may not consult or work for organizations that provide CIRO proficiency courses, including the Canadian Securities Institute (CSI) or education providers who are associated with any preparatory course providers for CIRO’s new exams. Applications must disclose any previous relationships with CSI or any other financial services education provider.

Committee members are subject to a Code of Conduct and, given the nature of the work of the Committee, a confidentiality agreement.

Application and Appointment Process

Committee members are appointed by the President and CEO of CIRO, or their designate, on the advice of CIRO Proficiency Staff.

Members are appointed for a term of two years. The term may be renewed at the discretion of the President and CEO of CIRO or their designate.

Where to send in applications

Interested parties are invited to submit their resume, indicating their relevant skills and experience, by May 16, 2025. Applications should be sent by email to:

[email protected]