Senior Compliance Officer

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.