Compliance Expert for Exempt Market Securities

1 week ago

Toronto, Ontario, Canada PearTree Canada Full time
About the Role

We are seeking a skilled Compliance Expert to join our team at PearTree Canada. As a key member of our compliance team, you will play a vital role in ensuring that our business operations and transactions adhere to all relevant legal and regulatory requirements.

Key Responsibilities
  • Client File Management: Assist with the creation, administration, and maintenance of client files, including reviewing incoming documentation to ensure completion and performing initial trade suitability reviews.
  • Trade Approval: Prepare trade approval forms for compliance sign-off and liaise with Client Service and Business Development departments to follow up on account application and/or suitability deficiencies.
  • Policy and Procedure Management: Draft, manage, and monitor compliance policies and procedures, as well as oversee the firm's compliance framework.
  • Reporting and Analysis: Deliver periodic and regular reports on compliance-related matters and recommend, coordinate, and implement action plans for resolution of issues identified in relation to compliance.
  • Knowledge and Training: Develop and maintain a sound knowledge of regulatory, legal, and business requirements, identify emerging issues and trends, and provide guidance and training to employees.
Requirements
  • Education: BSc/BA in Law, Finance, Business Administration, or a related field.
  • Certification: CSC or Exempt Mkt Product Course Required; Investment Funds course is also desirable.
  • Experience: Minimum 3 years experience working for an EMD or IIROC dealer in a compliance or related capacity, with strong attention to detail and 'Know Your Client' (KYC) experience required with emphasis on Exempt Market products.
About Us

PearTree Canada offers a total compensation package for this role of between $75,000 - $95,000 per year. We support a hybrid approach to our work model, allowing employees to balance home and office workdays. We value diversity and accessibility and welcome applicants from diverse backgrounds.

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