Financial Compliance Analyst

4 weeks ago


Mississauga, Ontario, Canada Investment Planning Counsel Full time

Compliance Officer (Contract)

Investment Planning Counsel (IPC) stands as a premier independent wealth management firm in Canada, committed to delivering outstanding client service. We are enhancing our Compliance division and are in search of a Compliance Officer who will emphasize Tier 2 oversight and foster robust relationships with Advisors and Branch Managers to ensure adherence to regulatory standards. Become a part of our accomplished team.

Key Responsibilities:

  • Perform daily Tier 2 Trade Supervision
  • Analyze Monthly and Quarterly trend reports
  • Ensure compliance with industry regulations and internal policies
  • Oversee trade reviews and address inquiries
  • Support regulatory investigations and special initiatives

Required Qualifications:

  • At least 3 years of experience in Compliance within the Financial sector
  • Post-Secondary education is essential
  • Completion of pertinent courses and certifications
  • In-depth knowledge of sales practices regulations
  • Experience in an MFDA or IIROC Dealer Compliance setting
  • Excellent time-management abilities and proficiency in Microsoft Office Suite


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