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Compliance Officer

2 months ago

Oakville, Ontario, Canada Iaawg Full time
Job Summary

We are seeking a highly skilled Compliance Officer to join our team at Iaawg. As a key member of our compliance team, you will be responsible for ensuring that our mutual fund industry operations are in compliance with regulatory requirements.

Key Responsibilities
  • Ensure compliance policies and procedures are maintained at each office;
  • Review and approve new account openings;
  • Ensure compliance with suitability requirements;
  • Provide supervision of trades and advice given to clients;
  • Supervise Branch Manager and/or Representative activities;
  • Review and follow up on previous day's trades;
  • Follow up on questionable trades and escalate as necessary;
  • Complete KYC update review and approval;
  • Provide training and education to the field;
  • Provide coverage and support to other Corporate Branch Managers on the team;
  • Provide support to our order affirmation team and other compliance teams as needed;
  • Monitor trends, communicate findings and implement corrective actions;
  • Act as a resource for the field;
Requirements
  • University degree or equivalent post-secondary education;
  • Excellent knowledge of the mutual fund industry;
  • Minimum 2-3 years of compliance supervision experience and 3-5 years in the Mutual Fund Industry;
  • Completion of the Canadian Investment Funds Course and Exempt Market Products Course, or Canadian Securities Course;
  • Completion of the Branch Managers Course or either the Officers, Partners and Directors (OPD) Course or Partners, Directors and Officers (PDO) Course;
  • Ability to understand, analyze and interpret Regulatory legislation;
  • Advanced level of English and French language skills as the person will be required to communicate (also supervise and train) about 80% of the time with colleagues and advisors in both languages.
Location

Toronto, Ontario

Other Possible Location

Montreal, Quebec; Vancouver, British Columbia

Company

Iaawg

Job Type

Full-time

Language

French and English

We thank all applicants for their interest; however, only those selected for an interview will be contacted.