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Compliance Officer

3 months ago

Markham, Ontario, Canada IDC Worldsource Insurance Network Full time

JOB STATEMENT:

ESSENTIAL FUNCTIONS:

  • Communicating with Advisors, Regional Compliance Officers and/or Branch Managers regarding the resolution of non
- compliant trading practices;

  • Responding to inquiries presented by the sales force and head office staff;
  • Upholding the standards outlined in the WFM Compliance Policies and Procedures manual and applicable industry regulations;
  • Conducting 2nd tier reviews of WFM approved person activities and ensuring the suitability of investments and other compliant trading practices;
  • Reviewing trades and conducting suitability analysis for all halted orders;
  • Identifying unsuitable trades and communicating the compliance infractions to the Branch Managers and the Advisors in a timely manner;
  • Reviewing and approving advertising and sales communications, as assigned;
  • Reviewing and approving leveraged investment accounts in accordance with firm and industry policy;
  • Reviewing and authorizing account opening and transaction forms; and
  • Participating in additional tasks and performing other duties/responsibilities as assigned.

QUALIFICATIONS:

  • Postsecondary education
  • Successful completion of the Canadian Securities Course (CSC) and Branch Manager's Course (BMC) or equivalent
  • Successful completion of the Conduct and Practices Handbook (CPH) preferred
  • Previous experience working for a CIRO firm, investment dealer or fund company with compliance experience or related role
  • Indepth knowledge of the financial services industry, including understanding of regulatory requirements of CIRO and other regulatory rules/obligations
  • Strong conflict resolution skills
  • Excellent oral and written communication skills and excellent organizational skills

COMPENSATION:

Commensurate with experience

  • In compliance with AODA, Worldsource will endeavour to provide reasonable accommodation to persons with disabilities in the recruitment process upon request. _
  • If you are selected for an interview and you require accommodation due to disability during the recruitment process, please notify the hiring manager upon scheduling your interview. _
  • We thank all applicants for their interest but only those selected for an interview will be contacted._

Job Types:
Full-time, Permanent

Benefits:

  • Company pension
  • Dental care
  • Employee assistance program
  • Extended health care
  • Life insurance
  • Onsite parking
  • Vision care

Schedule:

  • Monday to Friday

Application question(s):

  • What are your salary expectations?

Education:

  • Bachelor's Degree (preferred)

Experience:

- compliance in investment dealer: 1 year (preferred)

Ability to Commute:

  • Markham, ON L3R 9R9 (required)

Ability to Relocate:

  • Markham, ON L3R 9R9: Relocate before starting work (required)

Work Location:
Hybrid remote in Markham, ON L3R 9R9