Compliance Officer

We're looking for a Compliance Officer to join our Branch Examination team. Conduct onsite and/or remote examinations of CIRO dealer business locations, prepare pre-visit audit materials, communicate audit results, and maintain the audit schedule and prepare detailed audit reports.

Requirements

• University Degree related to finance and securities
• Successful completion of requisite courses (ie: Canadian Securities Course) with an ability to be licensed with CIRO
• 3 to 5 years of compliance supervision experience within the financial services industry
• Experience as a Branch Compliance Officer, Branch Manager, Branch Auditor, Compliance Officer, or Financial Advisor in a mutual fund dealer or investment dealer firm
• Sound knowledge of the rules and regulations governing the securities industry
• Proficient in Microsoft Outlook, Excel and Word
• Excellent analytical and investigative skills with strong attention to detail
• Excellent interpersonal skills with the ability to present information to different audiences
• Excellent organizational and time management skills
• Disciplined work ethic and committed to producing excellence in work output
• Ability to work with minimum supervision with a strong commitment to customer service
• Fluent communication skills in English are required and bilingual skills in French are an asset

Benefits

• Competitive compensation package
• Excellent health, dental and insurance benefits
• Generous vacation time
• Fitness benefit
• Parental leave top-up options
• Matching contributions to our retirement program
• Learning & development and education assistance program
• Regular social events to foster teamwork