Compliance Officer

2 weeks ago

Mississauga, Ontario, Canada Investment Planning Counsel Full time
Compliance Officer Role

Investment Planning Counsel is seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will play a critical role in ensuring that our firm's policies and procedures are followed, and that our advisors and branch managers are in compliance with regulatory requirements.

Key Responsibilities:
  • Conduct daily Tier 2 trade supervision to ensure compliance with firm policies and regulatory requirements.
  • Review and analyze monthly and quarterly trend reports to identify potential compliance issues.
  • Monitor and track inquiries and deficiencies, taking corrective action as necessary.
  • Provide review and approval of leverage proposals and transactions in leveraged accounts.
  • Maintain accurate and timely record-keeping of trade reviews performed and trade inquiries issued.
  • Respond to inquiries from advisors, advisor support professionals, branch managers, and head office staff in a timely and effective manner.
  • Support branch managers by generating and issuing timely reporting to assist with Tier 1 supervision.
Requirements:
  • Minimum 3 years of compliance experience in the financial industry, preferably with an MFDA or IIROC dealer.
  • Post-secondary education.
  • Completion of the Canadian Securities Course (CSC), Conduct and Practices Handbook Course (CPH), Branch Managers Course (CSI), and/or IFSE equivalents is mandatory.
  • Applicable proficiencies to supervise the sale of alternative funds and ETFs or ability to obtain within 3 months.
  • Knowledgeable in mutual fund and/or investment dealer sales practices rules and regulations, including general familiarity with regulations concerning federal and provincial legislation covering anti-money laundering, privacy, and other related compliance matters.
  • Experience working in an MFDA or IIROC dealer compliance environment with a good working knowledge of Univeris, Portfolio Aid, and/or other back-office software solutions preferred.
  • Excellent time-management skills and ability to self-motivate.
  • Strong knowledge of Microsoft Suite of products (Word, Excel, PowerPoint, Outlook).
What We Offer:

Investment Planning Counsel offers a dynamic and supportive work environment, with opportunities for professional growth and development. We are committed to providing our employees with the tools and resources they need to succeed in their roles.

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