Compliance Officer

2 weeks ago

Burlington, Canada Children's Education Funds Inc. Full time

**Children’s Education Funds Inc.** is seeking to add an experienced Compliance Officer to its head office team.

This role reports to the Chief Compliance Officer. The Compliance Officer is responsible for trade review, supervision, compliance reviews and reporting, and assisting with internal investigations in accordance with regulatory requirements.

**Key Duties**:

- Trade review
- Branch supervision
- Preparation of supervisory reports
- Coordinate with other departments to find quick resolution for customers, where possible.
- Educate and coach personnel on how to proceed with service issues. Maintain and update various logs for the complaints department, including logging complaints on various tracking sheets
- Liaise with other departments for information and documentation required in the course of duties.
- Administer the client complaint process
- Communicate with various parties involved in the complaints (branch manager, sales representative, and client).
- Track and ensure complaints are handled within specific requirements (e.g., acknowledgement completed within policy timeframes).
- Assess, analyze, and investigate client correspondence including recommendation for resolution.
- Prepare substantive complaint responses.
- Analyze sales, termination and compliance information to identify trends and provide insights and escalate any identified trends
- Support the improvement of existing supervisory reports and/or development of exception reports to enhance the supervisory practices of Head Office and branch managers
- Other duties, such as conducting special reviews/focused examinations and projects as may be assigned.

**Education / Experience / Other Skills**
- College Diploma or University Degree
- Three or more years directly relevant investment industry experience MFDA member firm in a compliance role or other functional area (e.g., trading, operations, sales, audit) Canadian Securities Course or Investment Funds in Canada Course Conduct and Practices Handbook Course an asset
- Bilingual (English/French) an asset
- Good, current knowledge of regulations including relevant National Instruments; MFDA and other SRO Rules, Policies and Regulatory Notices; CSA National and Multilateral Instruments; applicable provincial and territorial securities rules and regulations; and other applicable regulatory requirements, such as AML/CTF and Privacy as may be applicable or implemented from time to time.
- NRD experience is an asset.
- Sound judgment and communication and people skills to effectively interact with staff, branches, and complainants. Effective reporting to senior management is a critical component of the job.
- Ability to evaluate risk, identify control weaknesses, contribute to development of policies, implement supporting procedures and report on non-compliance effectively.

Work Location: Head Office: Burlington, Ontario

**Job Types**: Full-time, Permanent

**Benefits**:

- Dental care
- Extended health care
- On-site parking
- Vision care

Schedule:

- Monday to Friday

COVID-19 considerations:
COVID-19 Safety Plan in place.

Work Location: One location

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