Hybrid Senior Compliance Officer Role

Drive compliance excellence in a hybrid Senior Compliance Officer position within a reputable wealth management firm. This role focuses on enhancing regulatory compliance and guiding team efforts to maintain operational integrity. You will work closely with the Chief Compliance Officer, leading compliance functions and monitoring regulatory shifts.

Key responsibilities include managing daily compliance operations, approving client ratings, and ensuring accurate reporting. Engage with audits and provide training to ensure continuous adherence to compliance standards. Key Responsibilities:

• Approve daily client risk ratings and correct errors
• Oversee monthly compliance and regulatory report submissions
• Support audits and prepare reviews for PWL Advisors
• Monitor legal requirements and propose procedural updates
• Facilitate training on PWL policies and compliance regulations Requirements:
• At least 5 years in a CIRO-regulated firm
• Portfolio Manager or CIM® designation required
• Completion of Investment Dealer Supervisor Course mandatory
• Advanced Excel and technology skills needed
• French language proficiency is preferred Contribute to a compliance culture that values integrity and thoroughness while adapting to a dynamic regulatory landscape.