Compliance Officer: Regulatory Expertise

1 day ago


Mississauga, Ontario, Canada Investment Planning Counsel Full time

About the Role

Investment Planning Counsel is seeking a highly skilled Compliance Officer to join our team. In this role, you will be responsible for ensuring that our registrants adhere to regulatory requirements and our firm's policies and procedures.

Key Responsibilities

  • Conduct daily Tier 2 trade supervision to ensure compliance with regulatory requirements.
  • Review monthly and quarterly trend reports to identify areas for improvement.
  • Monitor compliance with IPCIC, IPCSC, and New SRO standards, as well as our firm's supervision guide and standard operating procedures.
  • Follow up on 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, 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

At Investment Planning Counsel, we offer a dynamic and supportive work environment that fosters growth and development. We are committed to providing our employees with the tools and resources they need to succeed in their roles.

About Us

Investment Planning Counsel is a leading independent wealth management company in Canada. We are dedicated to providing our clients with exceptional service and expertise in investment planning and wealth management.


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