Senior Regulatory Compliance Officer

6 days ago


Burlington, Ontario, Canada Aligned Capital Partners Inc. Full time
Regulatory Compliance and Supervision Role

Aligned Capital Partners Inc. is a dynamic investment dealer seeking a full-time Branch Manager/Compliance Officer to join its Business Integrity compliance team in Burlington.

Key Responsibilities
  • Provide Tier 1 supervision for assigned Advisors, ensuring compliance with securities regulatory requirements and ACPI supervisory policies.
  • Monitor registered individuals during the initial 90-Day Training Program and 6-month supervision period.
  • Review and approve Managed account Openings and KYC updates.
  • Escalate significant client service issues to ACPI Senior Management.
  • Review and provide pre-approval for Sales Communications for Advisors under supervision.
Requirements
  • Post-secondary degree in Finance or Business.
  • Relevant securities industry experience, with a minimum of 2 years as a Branch Manager or Compliance Officer.
  • Critical thinking and sound judgement.
  • Demonstrated knowledge of securities legislation and SRO rules and regulations.
What We Offer
  • Competitive compensation.
  • Recognition of accomplishments.
  • Investment in training and development.


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