Branch Compliance Supervisor

The Branch Compliance Supervisor will be responsible for monitoring retail account activity for compliance with governing regulations as well as internal policies and procedures. The role will provide regulatory guidance and support to Financial Advisors and requires strong relationship management skills.

Requirements

• 5 years experience at a broker dealer in a Compliance function
• Two years of relevant experience working for a Dealer Member or such equivalent experience as may be acceptable to CIRO
• Proficiency requirements necessary for registration as a CIRO Supervisor with options

Benefits

• Health Benefits
• RRSP Matching Program
• Employee Stock Purchase Plan
• Paid Time Off
• Volunteer Days
• Discretionary Bonuses
• Tuition Reimbursement