Compliance Officer: Ensure Compliance in Wealth Management Sector

Join our team as a Compliance Officer, where your expertise in compliance will ensure adherence to regulatory standards within Wealth Management. Your strong communication skills will foster clarity and compliance across the team.

This role involves monitoring compliance, implementing new policies, and conducting thorough trade reviews. With at least 2 years of relevant experience, you will leverage your problem-solving abilities to navigate compliance inquiries and safeguard investments while supporting the firm's registration responsibilities.

Key Responsibilities:

• Respond to compliance-related inquiries effectively
• Create and revise policies and compliance controls
• Monitor compliance under securities legislation
• Conduct detailed trade reviews and suitability assessments
• Assist with departmental initiatives as needed

Requirements

• Minimum 2 years in compliance or investment sectors
• Strong proficiency in English, both written and verbal
• Relevant certifications, like the Canadian Securities Course
• Excellent problem-solving and analytical skills
• Positive disposition and attention to detail

Shape the future of compliance in a dynamic and supportive workplace that values your contributions and growth.

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