Compliance Officer Role at Harbourfront Wealth

Join Harbourfront Wealth as a Senior Compliance Officer, a pivotal role ensuring compliance within a leading financial services firm. This hybrid opportunity is available from our Vancouver office or satellite locations.

As a Senior Compliance Officer, you will report to the Director of Compliance Supervision & Program Development and play a vital role in training staff on compliance procedures. With over five years in the industry and three years as a Tier 1 Supervisor, the ideal candidate will navigate regulatory requirements adeptly. Key responsibilities include supervising new registrants, conducting trading reviews, and leading compliance education initiatives.

Key Responsibilities:

• Oversee compliance training for newly registered staff
• Conduct internal and external audits
• Manage approvals for new and updated accounts
• Review and supervise marketing materials
• Provide ongoing support for compliance inquiries

Requirements

• Minimum 5 years of compliance experience
• Designated supervisor registration with CIRO
• In-depth regulatory knowledge of CIRO and CSA
• Strong communication capabilities
• Familiarity with MS Office tools

Be an integral part of fostering compliance culture at Harbourfront Wealth.

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