Branch Manager/compliance Officer

3 days ago

Winnipeg, Canada Doheny Securities Limited Full time

Seeking a full time Compliance Officer to join our team at a fast paced independent Mutual Fund Dealership. Salary will be determined based on experience, plus bonus.

**Core Competencies**:

- Refined attention to detail
- Strong communication skills, both written and verbal
- Excellent time management skills
- Strong analytical, critical thinking and problem solving skills
- The ability to organize and follow-up on multiple tasks and details with accuracy and timeliness

**Scope of Responsibility**:

- Exhibit your thorough understanding of, and ensure adherence to, Canadian regulatory framework including an understanding of MFDA, CSA and MSC regulatory requirements.
- Ensure policies and procedures of the firm are being adhered to
- Ensure branch reviews and audits are being completed and appropriately reported as required
- Conduct daily trade review
- Make recommendations to the President to ensure continued compliance with all rules and regulations
- Ensure Anti-Money Laundering regulations are followed

**Experience Required**:

- Must have experience in the mutual fund/financial services industry
- Must have completed the Canadian Securities Course (CSC)
- Must have completed the Branch Managers Course, or willing to obtain within a reasonable time period
- A satisfactory background check may be required of the successful applicant prior to commencing employment

**Salary**: $70,000.00-$90,000.00 per year

Schedule:

- Day shift
- Monday to Friday

Supplemental pay types:

- Bonus pay

Licence/Certification:

- CSC Course Completion certificate? (preferred)

Work Location: In person

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