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Compliance Officer
2 months ago
JOB STATEMENT:
The Compliance Officer will be responsible for providing compliance oversight review primarily within Worldsource Securities Inc. (“WSI”) Compliance. The successful candidate must enjoy working as part of a team, be highly detailed, organized and accurate, with the ability to work under pressure and meet deadlines. In addition, the candidate must work without direct supervision, exercise initiative and use independent judgment in the performance of assigned tasks.
ESSENTIAL FUNCTIONS:
- Completing Tier 2 daily and monthly trade reviews;
- 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;
- Generating reports, researching and conducting analysis as required;
- Preparing and performing the monthly bookkeeping blotter for non-trading activity;
- Reviewing and approving advisor marketing materials including websites and social media accounts;
- Conducting review of advisor email communication;
- Working on additional tasks as assigned by the Sr. Director, Compliance or the Vice President, Dealer Compliance.
QUALIFICATIONS:
- Post-secondary education
- 7-10 years of compliance experience in a securities environment
- Successful completion of the CSC, CPH, Branch Manager’s Course or equivalent is required
- Options/Derivatives Course and other securities industry courses will be an asset
- Thorough knowledge of securities regulations and requirements
- Experience working with licensed advisors and knowledge of the independent dealer channel
- Strong business acumen and the ability to make strategic decisions in times of uncertainty
- Analytical and problem-solving skills, with the ability to precisely interpret complex compliance concepts and the ability to simplify complicated messages
COMPENSATION:
Commensurate with experience
If you are interested in applying for this position, please forward a cover letter and resume in confidence. Worldsource is committed to accessibility in employment and to ensuring equal access to employment opportunities for candidates, including persons with disabilities. 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.