Compliance Officer

2 weeks ago

Markham, 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**:

- Post-secondary 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
- In-depth 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
- On-site 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

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