Compliance Officer

1 week ago

Toronto, Canada Cranson Capital Full time

Cranson Capital is looking for a dynamic individual looking to showcase their administrative skills with a growing firm.

The Compliance Officer will assist the Chief Compliance Officer with the administration of Ontario Securities Commissions compliance requirements. They will work with the team to ensure the compliance process is adhered to and answer any compliance inquiries.

**Responsibilities**
- Ensure dealing representatives are following compliance regulations
- Ensure the company is keeping compliant with compliance regulations
- Assist with the internal updates of compliance policies & procedures
- Organize & manage deal closings
- Review & process new accounts
- Monitoring KYC documentation & referral arrangements
- Keep compliance records and documents up-to-date
- Liaise with investors and external stakeholders
- Coordinate and work on investors’ inquiries
- Preparing investor statements
- Reviewing & filing AML reports
- Managing company & DR registrations
- Attend industry seminars
- Analyze possible areas to enhance & improve processes
- Assisting with audits when required
- Other duties as required

**Essential Skills and Qualifications**
- Related post-secondary education
- Minimum of 2 years of compliance experience in the financial industry
- Being Familiar with Ontario Securities Commission policies & procedures is an asset
- Ability to work independently, think critically & make decisions
- Excellent research & organizational skills
- Knowledge of and proven proved ability in competencies including teamwork, adaptability, resourceful, analytical, problem-solving & judgment
- Detail-oriented and professional
- Excellent written and oral communications
- Ability to work under tight deadlines & handle pressured situation
- Strong knowledge of MS Office (Word & Excel), and CRM software

Pay: $65,000.00-$75,000.00 per year

**Benefits**:

- Dental care
- Extended health care

Schedule:

- Monday to Friday

Work Location: In person

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