Location: Richmond Hill, Ontario
Job Type: Full-Time, Permanent
Salary: $65,000–$80,000 per year
We are looking for an experienced Senior Compliance Officer who wants to take the next step in their career.
This is more than a trade-review position. You will be joining an independent investment dealer where you can take ownership of meaningful compliance responsibilities, work closely with senior management and Investment Advisors.
Why Join Us?
· Grow Your Career
· Have a Voice
· Work With People, Not Against Them
· Maintain Work-Life Balance
What You'll Do
As a Senior Compliance Officer, you will be an important member of our compliance team with responsibility for helping the firm identify, manage and resolve regulatory and client-related risks.
Your responsibilities will include:
· Conducting trade reviews and assessing suitability, KYC and client-risk concerns.
· Monitoring branch compliance activities and following up on identified issues.
· Working directly with Investment Advisors to resolve compliance matters.
What We're Looking For
· Minimum 3 years of securities compliance experience, preferably within an investment dealer or similar regulated financial services environment.
· Strong knowledge of Canadian securities regulations, CIRO requirements and investment dealer compliance.
· Previous securities registration or Investment Advisor experience is considered a strong asset.
Build the Next Stage of Your Compliance Career
This position is well suited to someone who has already developed a strong foundation in investment compliance and is ready for more responsibility, greater involvement and an opportunity to contribute beyond routine compliance reviews
If you're looking for a role where your experience, ideas and judgment will be valued, we'd like to hear from you.
