Compliance Officer

7 days ago

Markham, Ontario, Canada Worldsource Wealth Management Full time

JOB STATEMENT:

The Compliance Officer is a key member of the Compliance Department within Worldsource Wealth Management Inc. ("WWM"), having responsibilities for the surveillance of account activities. The primary purpose of this role is to monitor accounts for approved person activities for adherence to firm and industry rules and regulations and to identify, address and escalate (as required) non-compliant situations that present client risk, business risk, regulatory risk and reputational risk. The successful candidate must enjoy working as part of a team, be highly detailed, organized and accurate, and have the ability to work under pressure and meet deadlines. In addition, the candidate must exercise initiative and use independent judgment in the performance of assigned tasks.

RESPONSIBILITIES:

  • Communicating with Advisors and/or Supervisors regarding the resolution of non-compliant trading practices;
  • Responding to inquiries presented by branches and head office staff;
  • Upholding the standards outlined in the WWM Compliance Policies and Procedures manual and applicable industry regulations;
  • Conducting 2nd tier reviews of WWM approved person activities and ensuring the suitability of investments and other compliant trading practices;
  • Identifying unsuitable trades and communicating the compliance infractions to the Supervisors and the Advisors in a timely manner;
  • Reviewing and approving leveraged investment accounts in accordance with firm and industry policy;
  • Participating in additional tasks and performing other duties/responsibilities as assigned.

QUALIFICATIONS:

  • Successful completion of relevant securities-related courses and fulfillment of supervisory proficiency requirements
  • Previous experience working for a CIRO firm, ICPM or fund company with compliance experience or related role
  • Thorough knowledge of the financial services industry, including understanding of regulatory requirements of CIRO and other regulatory rules/obligations
  • Experience working with licensed advisors and knowledge of the independent dealer channel
  • Strong business acumen and the ability to make strategic decisions in times of uncertainty
  • Analytical and problem-solving skills, with the ability to precisely interpret complex compliance concepts and the ability to simplify complicated messages
  • Proficiency in the French language is an asset
  • Proficiency in options trading supervision and managed account supervision is an asset
  • Experience with platforms such as Dataphile, Portfolio Aid and MAKO is an asset
  • Excellent oral and written communication skills and excellent organizational skills
  • Strong knowledge of Microsoft Office applications

COMPENSATION:

Commensurate with experience

If you are interested in applying for this position, please forward a cover letter and resume in confidence to

Worldsource is committed to accessibility in employment and to ensuring equal access to employment opportunities for candidates, including persons with disabilities. In compliance with AODA, Worldsource will endeavour to provide reasonable accommodation to persons with disabilities in the recruitment process upon request. If you are selected for an interview and you require accommodation due to disability during the recruitment process, please notify the hiring manager upon scheduling your interview.

We thank all applicants for their interest but only those selected for an interview will be contacted.

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