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Compliance Officer

3 months ago

Mississauga, Ontario, Canada Edward Jones Full time

Want a meaningful career where you can make a difference? Edward Jones sounds perfect for you.
Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones.

Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus:
serving the client. And everyone is working to make the firm better together - as they grow as individuals. If these words resonate with you, we should talk.

Job Overview

Position Schedule:
Full-Time

The Compliance Officer, Field Supervision is responsible for ensuring compliance with laws and regulations of the various regulatory bodies (such as the Investment Industry Regulatory Organization of Canada (IIROC) - and the provincial Securities Commissions) and for ensuring compliance with internal policies through any of the following:

  • the development and implementation of policies and procedures.
- the preparation and/or approval of Compliance Bulletins or other written compliance communications for branch and home office associates;
- the preparation and delivery of training that may be necessary to deliver key compliance messages to home office associates or branch office associates;
- through ongoing oversight and monitoring and testing of delegated activities, the identification of red flags or potential concerns and addressing these issues with senior associates and team leaders for address and resolution;
- the participation in firm and/or department initiatives and projects;
- the investigation of possible breaches of applicable regulations or policies;
- the imposition of internal disciplinary actions to branch office associates when appropriate;
- the identification of problem situations and the recommendation and implementation of corrective actions;
- the accurate processing of various reports that need to be reviewed and addressed within acceptable timeframes by senior staff, partners and other departments as appropriate;
- the support of other Compliance and Supervision associates' activities during times of absence, tight deadlines, or heavier volumes;
- specific to the support of Compliance Services responsibilities:

  • the handling of inquiries through the Field Supervision phone line and through the internal web-based communications system
- the timely placement and/or approval of account restrictions
- the processing and verification of outside accounts and statements received from 3rd parties, as well as verification letters
-
This position will be an 18 month contract

Skills/Requirements

Qualifications Required in the Job:

  • University degree, college diploma or relevant work experience is required.
  • A general understanding of compliance and retail branch supervisory issues is preferred.
  • Completion of Canadian Securities Course, Conduct and Practices Handbook, and
    Investment Dealer Supervisors Course is strongly preferred.
  • Two to three years securities industry or relevant regulatory experience strongly preferred.
  • This position requires a general understanding of financial products, firm policies and industry regulations.
  • Compliance experience in the investments or financial services industry an asset.
  • 18 month contract position

Problem Solving

  • Service for branch associates can be handled by research or by reliance on knowledge and experience. Complex or unusual queries can be referred to senior associates or leaders. The contact volume can be large on any day and the FSS must have a solid knowledge base to handle the volume.
  • May involve research of account documentation, trade data, compliance policies and procedures, regulatory provisions or notices and other fact finding.
  • Examples of problem resolution include addressing client inquiries related to verification letters; as well as making the determination as to whether account restrictions can be lifted or should be imposed

Decision Making:

Decisions are generally based on defined business processes. Complex issues escalated to senior associates and leaders. Some decisions, especially those relating to rule breaches, will have to made on short notice.

The Compliance Officer must be knowledgeable and able to exercise sound judgment in making recommendations and taking actions in consultation with senior compliance staff.

The degree to which decisions are complex and non-routine will vary on a case-by-case basis. Some decisions will be routine and others will be more involved. This position operates with a moderate degree of autonomy and accountability for decisions. High risk, high exposure situations are escalated to senior associates and leaders.

Span of Influence:

  • Firmwide on an individual issue level.
  • Dealing with relatively routine to moderately complex situations which have implications for individual customers and/or business stakeholders.
  • Investigation and resolution of issues could impact the client, the Financial Advisor and/or firm poli