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Compliance Officer

2 months ago

Guelph, Ontario, Canada Skyline Group of Companies Full time
{"title": "Compliance Officer", "description": "

At Skyline Group of Companies, we are seeking a highly skilled Compliance Officer to join our Wealth Management team. As a Compliance Officer, you will play a critical role in ensuring that our firm adheres to all applicable securities laws and regulations.

Key Responsibilities:

  • Apply policies and regulatory rules to respond to compliance-related inquiries from the Wealth Management team.
  • Assist in the creation and implementation of new and amended policies and procedures for compliance initiatives and controls.
  • Monitor compliance and individuals acting on our behalf, with applicable securities legislation.
  • Perform all trade reviews.
  • Monitor KYC/KYP suitability and other rules by reviewing applications and trade activity.
  • Maintain registration for the firm and its registrants.
  • Assist with departmental and enterprise initiatives as required.

Requirements:

  • Strong oral and written communication skills in English.
  • Problem-solving skills necessary to resolve routine and non-routine compliance issues.
  • A positive attitude and ability to handle any problem with optimism.
  • Minimum 2 years compliance and/or investment experience with an exempt market dealer.
  • Completed Canadian Securities Course, Exempt Market Proficiency Course or equivalent, or in progress of completion.

About Skyline Group of Companies:

We offer our employees competitive pay, benefits, RSP match program, paid volunteer day, on-going training, growth potential, and a supportive work environment that empowers staff to become involved in supporting and building vibrant communities.

", "lang_code": "en"}