Junior Compliance Officer

2 weeks ago

Richmond Hill, Canada Equity Associates Inc. Full time

**Job description**

The Junior Compliance Officer is an entry level compliance role that will assist in the completion of, and independently complete where appropriate, day-to-day compliance tasks.

**Responsibilities**:

- Maintain National Registrations Database (NRD) and handle onboarding/terminating of Approved Persons
- License renewals, annual questionnaire, Outside Activities (OA), address changes and record updates
- Respond to inquiries from Approved Persons and internal/external parties, including regulatory bodies
- Draft standard and non-standard correspondence (e.g. memo, letters, and reports)
- Research and resolve escalated inquiries
- Provide reporting
- Other compliance duties such as, tier-2 trade blotters, leverage reviews, marketing reviews, and other day-to-day tasks as assigned

**Requirements**:

- Prefer minimum 1-2 years of financial services experience
- Previous compliance experience preferred
- Verbal and written communication skills
- Ability to work independently and multi-task in a fast-paced environment
- Relationship-building skills to work with internal and external contacts
- Analytical and research skills
- Proficiency using MS Office tools

**Preferred Qualifications**
- Canadian Securities Course (CSC), Investment Funds in Canada(IFC) or IFIC Mutual Funds Course
- Mutual Fund Dealer Compliance Course, Branch Managers’ Examination Course, or equivalents
- Able to be licensed
- Post secondary education

**Salary**: $45,000.00-$50,000.00 per year

Schedule:

- Monday to Friday

Ability to commute/relocate:

- RICHMOND HILL, ON: reliably commute or plan to relocate before starting work (required)

**Education**:

- Bachelor's Degree (preferred)

**Experience**:

- financial industry: 1 year (preferred)

Work Location: One location

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