Compliance Officer
6 months ago
The Compliance officer will be responsible for managing compliance issues that arise in relation to:
- Mortgage Investment Company (MIC) and Exempt market dealers and exempt offerings,
- Review KYC and suitability assessments and AML inputs.
- Prepare compliance-related filings and reports.
- Maintain the firm’s compliance calendar and compliance records.
- At least one to two years of relevant industry experience in a compliance capacity at a fund or investment management firm, investment dealer, or exempt market dealer.
- Post-secondary education in Finance/ Business or relevant field.
- Passing either the Exempt Market Products exam or the Canadian Securities Course (CSC) exam.
- Strong knowledge of the financial industry and laws applicable to exempt market. Experience with SEDAR+ filings will be an asset.
- Demonstrated analytical and reporting competencies.
**Salary**: $42,859.44-$87,977.95 per year
**Benefits**:
- On-site parking
- Paid time off
Schedule:
- Monday to Friday
Ability to commute/relocate:
- Mississauga, ON L5W 0H6: reliably commute or plan to relocate before starting work (required)
**Experience**:
- banking: 1 year (preferred)
- Project management: 1 year (preferred)
- automation testing: 1 year (preferred)
- Compliance: 1 year (required)
Work Location: In person
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