Compliance Officer

3 hours ago

Mississauga, Ontario, Canada Investment Planning Counsel Full time
Compliance Officer Job Description

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 adheres to regulatory requirements and industry standards.

Key Responsibilities:
  • Conduct daily Tier 2 trade supervision to ensure compliance with IPCIC, IPCSC, and New SRO standards.
  • 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, competitive compensation, and opportunities for professional growth and development.

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