Junior Compliance Officer

1 week ago

Fredericton, New Brunswick, Canada CST Savings Full time

Position: Junior Compliance Officer

Company: CST Savings

Industry: Financial Services

Reports to: Manager, Compliance

Location: Flexible Work Location Arrangements Available

Duration: 6-Month Contract

Application Deadline: April 10, 2025

Role summary:

The Junior Compliance Officer is responsible for performing monitoring and supervision of CST's sales channel and advising and updating the assigned Compliance Manager on regulatory compliance related issues, branch and trade supervision concerns, coordinating and carrying out branch audits and ensuring dealer compliance with relevant securities rules and regulations and federal and provincial legislation.

What you will be doing:

Supporting the Compliance Team in its supervision and monitoring of its distribution networks and ongoing continuous improvement to the compliance infrastructure to ensure that CST operates in compliance with the regulatory standards of its various securities regulators in the following areas:

Regulatory Compliance – Supervision and Monitoring (60%)

  • Support the maintenance and updating of the branch risk rating matrix on a semi-annual basis. Identify branches to review over a two-year cycle with additional audits for high-risk branches as required
  • Support the coordination (e.g. issuance of questionnaires and document requests, booking of interviews etc.) and conducting of branch audits to ensure all compliance requirements are being followed. Assist with the preparation and distribution of the reports to Branch Managers and appropriate Head Office departments. Counsel Branch Managers on audit deficiency remediation and monitor completion of the action plans
  • Review all monthly Branch Managers' compliance and supervisory reports, follow up on missing reports and advise the Compliance Officers of any trends, issues etc.
  • Review the trade blotters for CST Savings and CST Spark, highlighting trades which may be unsuitable
  • Monitor branch manager activities for Sales Representatives under secondary review in accordance with the program details, utilizing applicable reports and the Sales database. Using analytics, develop predictive key performance indicators. Escalate any identified trends to the Compliance Officers
  • Review the termination reports and data to identify high risk sales representatives based on termination and default termination rates
  • Prepare the CST Spark trend analysis report for the CST Spark Compliance Officer quarterly
  • Support the enhancement of the compliance infrastructure by recommending improvements to existing supervisory reports and/or the development of exception reports/metrics/tools with the assistance of I.T./Sales to support the supervisory practices of Head Office and the Branch Managers and provide business insights

Policy Development, Training and Support (40%)

  • Review the account opening compliance policies and procedures on an on-going basis to ensure compliance with securities and other laws, assess their effectiveness, and recommend changes where appropriate. Draft enhancements to the account opening policies and procedures as required
  • Provide comments or responses on legislation, rules and other regulatory changes related to account opening and update the Director, Compliance on changes impacting CST Registered Firms
  • Draft memos/bulletins and/or conduct training to ensure the distribution channels and Head Office staff are informed about account opening requirements
  • Build and maintain working relationships with the Branch Managers in assigned jurisdictions

Qualifications:

  • Post-secondary education, preferably a degree in accounting, economics or a related field
  • At least 3 years of experience in a mutual fund dealer or investment dealer
  • A solid knowledge of securities regulations and laws along with experience in their application to distribution and financial services operations
  • Proficiency requirements include the Branch Managers Course, and the Canadian Securities Course or Canadian Investment Funds Course or their equivalent.
  • Completion of RESPDAC Dealing Representative Proficiency and Branch Manager Proficiency Courses
  • Detailed oriented with strong analytical and problem-solving skills
  • Strong critical thinking skills and sound judgement to recommend solutions to support CST's business objectives
  • Strong interpersonal, relationship building and organizational skills
  • Team player with the ability to work independently and be a self-starter
  • Effective written and oral communication
  • Proficient on MS Office and Adobe Acrobat in addition to the National Registration Database

What's in it for you?

Below are examples of some of the things you can take advantage of from this opportunity:

  • Be part of a growing innovative company that's a leader in the industry – all of us roll up our sleeves to get the work done
  • Work with a highly motivated, collaborative, and fun team
  • Competitive salary
  • Flexible work arrangements
  • Organization and team celebration events

About CST:

The We're the creatorsof Education SavingsPlans in Canada.Our founders pioneereda movement to create and deliver solutions to make higher education accessible for all. Over 60 years later, our dedication to our mission is stronger than ever:

  • Almost 700,000families have saved with CST
  • Almost 900,000+ students helped
  • $4.8 billion+ in total assets
  • $4 billion+paid to Canadian families

Through our expert guidance and powerful investment options, we help Canadian's invest in our children's future with Registered Education Savings Plans (RESPs). With big dreams, anything is possible

CST Spark is the latest chapter from the ongoing story of innovative education savings. Today, we continue to inspire and revolutionize education savings with CST Spark – the simple, modern RESP that combinestop investment expertisewith the latest technology. For additional information, please visit www.cst.org & www.cstspark.ca

Come grow with us

To apply please email your resume to: careers@cst.org

*On your email subject line please insert: Junior Compliance Officer

Thank you for your interest in this job opportunity.

CST is committed to creating a diverse and inclusive environment and is proud to be an equal opportunity employer. CST sincerely thanks all applicants for their expressed interest in this opportunity; however, only those selected for an interview will be contacted. Accommodations are available upon request for candidates taking part in all aspects of the hiring process. Applicants need to make their requirements known when contacted. To request accommodation, please contact HR at careers@cst.org. Thank you for your interest in a career at CST.

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