Compliance Officer

2 weeks ago

Markham, Canada IDC Worldsource Insurance Network Full time

**JOB STATEMENT**:
**ESSENTIAL FUNCTIONS**:

- Completing monthly reviews to identify trends or patterns that may be of concern;
- 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
- Working on additional tasks as assigned by the Manager, Compliance, the Director, Compliance and the Vice President, Dealer Compliance.

**QUALIFICATIONS**:

- Post-secondary education
- Previous experience working for a CIRO firm, investment dealer or fund company with compliance experience or a related role is mandatory
- Successful completion of the Canadian Securities Course (CSC) and Branch Manager’s Course (BMC) or equivalent
- Ability to multi-task in a fast-paced environment
- Excellent oral and written communication skills and strong conflict resolution skills
- Excellent organizational skills

**COMPENSATION**:
Commensurate with experience

**Salary**: $36.00-$99.00 per year

**Benefits**:

- Company pension
- Dental care
- Disability insurance
- Employee assistance program
- Extended health care
- On-site parking
- Paid time off
- Vision care

Ability to commute/relocate:

- Markham, ON L3R 9R9: reliably commute or plan to relocate before starting work (required)

Application question(s):

- What are your salary expectation?

**Education**:

- DCS / DEC (preferred)

Work Location: In person

Expected start date: 2023-08-16

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