Compliance Officer

**NOUR PRIVATE WEALTH**

**JOB DESCRIPTION**:
**COMPLIANCE OFFICER FOR IIROC REGISTERED DEALER and INSURANCE ARM**

**OPPORTUNITY**

To accommodate our continued growth and success, we are seeking the role of a full-time **Compliance Officer** with previous experience at an IIROC dealer member (s) and working in insurance. The position requires an experienced, detail-oriented individual with strong process and organizational skills and the ability to prioritize and follow the company's policies and procedures.

**DESCRIPTION**

**Department Overview**

The Compliance Officer will be responsible daily for identifying and preventing violations of regulatory requirements by both advisors and clients. This is accomplished by:

- Obtaining an extensive knowledge and understanding of our firm's policies and procedures
- Daily and monthly activity reviews
- Annual advisor reviews, branch location audits
- Approving new client accounts and updates
- Approving advisor sales communications and advertising
- Promoting a compliance culture within the firm
- Providing training and education
- Taking preventative measures to ensure compliance with the rules and regulations are being applied
- Escalating as required
- Administer compliance controls within the department and the business units and provide suggestions for improvement as required to resolve concerns
- Assist in identifying compliance requirements that relate to maintaining testing documentation and records
- Assist in maintaining and enhancing policies and procedures
- Assist with responses to inquiries from regulators
- Ensure compliance with the company's and industry's policies and procedures
- Escalate issues identified to Compliance management and monitor for resolution
- Foster a cooperative working relationship among peers and business partners
- Identify, evaluate, and manage strategic risk opportunities
- Ongoing review of regulatory requirements/changes
- Participate in firm committees, as well as industry conferences and seminars where applicable
- Respond to employee trading approval requests and conduct surveillance of employees' personal trading
- Review/approval of all new account openings and updates within the firm

**Job Requirements**
- University/College degree or combination of equivalent education and a minimum of five years of experience as a compliance officer or other supervision role at an **IIROC dealer member**
- Life License Qualification Program **(LLQP) required**
- Diplomatic problem-solving skills to resolve issues within a functional area and/or across functional areas
- In-depth knowledge of regulations impacting personal financial services activities
- Experience in managing the performance of direct reports through a performance management process, as well as experience in having performance discussions and/or coaching.
- Experience in executing and managing business processes within a functional area or branch.
- Experience adapting to a change in process, new systems, and expansion.
- Demonstrated experience communicating the vision for a functional area or branch that inspires and aligns the team of advisors.
- Ability to work independently and with the team, think critically and make decisions
- Excellent communication skills, both written and oral (English)
- Ability to deal with staff and management at all levels in Nour Private Wealth
- Ability to work under pressure and meet deadlines
- Strong personal integrity in dealing with confidential and sensitive information
- Reliable, punctual and professional
- Strong analytical skills

**Other Qualifications/Skills/Experience**:

- Courses **completed** registering as a Supervisor for IIROC dealer
- Previous compliance experience in integrated dealership setting (IIROC, MFDA, SEC/FINRA. INSURANCE).
- Ability to work independently and as part of a team yet understand when matters need to be escalated to senior management
- Ability to manage and prioritize multiple projects, many with tight deadlines
- Advanced knowledge of Microsoft systems: Word, Excel, and PowerPoint
- At least five years experience in the industry
- French (spoken and written) is an asset

Job Field: Head Office

Primary Location: North America-Canada-Ontario-Oakville

Schedule: Full-time/Regular

Hours - Monday to Friday

Business Line - Compliance

Language - English (required), French (an asset)

Salary - will be commensurate with experience and marketplace.

We thank all applicants; however, only those selected for an interview will be contacted.

**Job Types**: Full-time, Permanent

**_Inclusion and Equal Opportunity Employment_**
- We thank all applicants; however, only those selected for an interview will be contacted._
- Joining us if you qualify will be the best career decision ever._

**Job Types**: Full-time, Permanent

**Benefits**:

- Dental care
- Extended health care
- On-site parking
- RRSP match
- Vision care

Schedule:

- Day shift
- Monday to Friday

Ability to commute/relocate:

-