Compliance Officer

2 weeks ago


Markham, Canada Queen Financial Full time

**Position: Chief Compliance Officer**

**Responsibilities**:

- Conduct internal compliance review and audits for head office and branches
- Conduct Tier II trade reviews and approvals
- Lead work in regulator audits and respond to regulator inquiries
- Monitor and review marketing communications and social media posts to ensure accuracy, consistency, and compliance
- Keep up with regulator policies and communicate with member approved persons
- Handle client complaints and investigations
- Create and deliver training to team members on regulations and industry practices
- Provide input on compliance implications into the planning, implementation and management of products, services, and operational programs
- Lead reviews of various business functions against internal policies and procedures
- Conduct compliance functions as they pertain to funds’ investment activities
- Assist in building a risk-aware and control-conscious culture by spearheading an integrated risk management framework
- Assist in the organization of materials for and completion of reports for various stakeholders
- Undertake all other tasks with a positive can-do attitude reflective of the entrepreneurial culture of the organization
- Effectively contribute to all other business lines to produce a material positive impact for the company’s clients

**Qualifications**:

- Compliance experience in the securities industry
- Knowledge of the regulatory environment as it pertains to investment fund managers, portfolio managers and exempt market dealers is a plus
- Experience interacting with regulatory bodies and legal counsel
- Excellent written and verbal communication skills
- Excellent organizational and time management skills
- Proficient with Microsoft Office Suite
- Current or prior Compliance Officer registration, or completion(or in the process of completion) of the Partners, Directors and Senior Officers Course(PDO) and/of Chief Compliance Officers Qualifying Examination(CCO)
- Excellent collaborative teamwork skills
- Highly motivated, self-driven and results-oriented
- Strong desire to work in a dynamic, fast-paced, and entrepreneurial environment with a performance-driven culture

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

**Salary**: $50,000.00-$75,000.00 per year

Schedule:

- Monday to Friday

Ability to commute/relocate:

- Markham, ON L3R 6G2: reliably commute or plan to relocate before starting work (preferred)

**Experience**:

- Compliance: 1 year (preferred)
- Mutual Fund: 1 year (preferred)


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