Compliance Specialist

3 days ago


Toronto, Ontario, Canada PearTree Canada Full time

PearTree Canada is a leading player in the financial industry, and we are seeking an experienced Compliance Specialist to join our team. This role plays a critical part in ensuring that our business operations and transactions adhere to all relevant legal and internal rules, with a focus on securities regulatory compliance for PearTree Securities Inc.

Main Responsibilities:

  • Support the creation, administration, and maintenance of client files, including the update of new client account applications and Know Your Client (KYC) forms as required
  • Review incoming documentation to ensure completeness and perform initial trade suitability reviews
  • Prepare trade approval forms for compliance sign-off and liaise with the Client Service and Business Development departments to follow up on account application and/or suitability deficiencies
  • Oversee the creation of trade confirmations, quarterly statements, and annual compensation reports for dissemination to clients
  • Draft, manage, and monitor compliance policies and procedures, including managing oversight of the firm's compliance framework
  • Deliver periodic and regular reports on compliance-related matters and recommend action plans for issue resolution
  • Develop and maintain a sound knowledge of regulatory, legal, and business requirements, identifying emerging issues and trends to inform decision-making
  • Assist with regulatory filings and provide guidance and training to employees on compliance matters

Requirements:

  • Minimum 3 years of experience working for an Exempt Market Dealer (EMD) or Investment Industry Regulatory Organization of Canada (IIROC) dealer in a compliance or related capacity
  • Strong attention to detail, with


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