Compliance Officer

Position Overview:

The Compliance Officer reports to the Chief Compliance Officer (CCO) and will be responsible for helping maintain the integrity of the firm by ensuring compliance with all regulatory requirements as well as internal policies and procedures. This position will support the maintenance of the Compliance Program that ensures adherence to compliance requirements. This role will also develop, implement and update relevant policies in support of the firm's Compliance Program.

Responsibilities:

• Support the administration of the scholarship plans' distribution in compliance with OSC regulations and other provincial regulations governing prospectus exemptions.
• Support the administration of the dealer compliance function ensuring compliance with OSC regulations and other provincial regulations.
• Help develop and maintain compliance policies and procedures including related internal controls, training, independent testing, and recordkeeping requirements.
• Implement changes to policies, procedures and programs that will serve to improve the organization's regulatory compliance.
• Support the development of processes, tools and resources to support compliance initiatives that align with corporate goals and objectives.
• Conduct compliance risk assessments to identify vulnerabilities and implement appropriate corrective and follow-up actions.
• Ensure all appropriate registers, books and records are maintained in good standing and in accordance with legal and regulatory requirements.
• Assist in the preparation of responses to and coordination of requests from various regulatory bodies and serve as secondary contact for all regulatory bodies on compliance inquiries.
• Support the investigation, evaluation, timely response and resolution of alleged compliance violations and customer complaints.
• Address general and ad-hoc regulatory queries/projects from internal business stakeholders as needed.
• Day to day supervision, work assignment, supervisory testing and oversight.
• Provide ongoing advice on compliance with Personal Information Protection and Electronic Documents (PIPEDA), Canadian Anti-Spam Legislation.
• Review marketing materials, advertising and social media posts.
• Manage registration applications of new sales staff and notices of registration changes on NRD.
• Develop and deliver applicable compliance training and associated materials, including new hire compliance orientation and ongoing dealing representative, branch manager, employee/management compliance training.
• Review new trades for compliance with KYC and suitability requirements and AML requirements.
• Perform other duties as assigned.

Qualifications:

• Ability to take responsibility and be proactive on new matters.
• Strong management skills.
• Strong written communication skills.
• Excellent verbal and written communication, collaboration, presentation and influencing skills with the ability to communicate effectively with all internal and external stakeholders.
• Ability to review documentation effectively and accurately with prior audit experience.
• Excellent attention to details and a meticulous eye for identifying inconsistencies and inaccuracies.
• Competent user of Microsoft software, in particular Word, PowerPoint, Excel.
• Able to work effectively with individuals at all levels of the organization.
• Strong understanding of Canadian regulatory environment and requirements.
• An undergraduate degree with 3-5 year's experience working in a compliance role in the financial services industry, preferably with a dealer or portfolio manager.
• CSC or other industry courses.
• French language skills are an asset.
• Accounting background and financial literacy are strong assets.

Job Type: Full-time

Benefits:

• Dental care
• Extended health care
• Life insurance
• On-site parking
• Vision care

Work Location: In person