Senior Compliance Officer
Horizon Recruitment View all jobs
- Toronto, ON
- Permanent
- Full-time
- Supervise newly registered staff and provide guidance on regulatory requirements and firm policies
- Conduct Tier 1 supervision for both managed and non-managed accounts
- Review and approve new account openings and account updates
- Perform daily and monthly trade supervision to ensure regulatory compliance
- Conduct quarterly reviews of managed accounts
- Review and approve outside business activities for registrants
- Conduct close supervision of new registrants during onboarding periods
- Participate in internal branch audits and support external regulatory audits
- Provide guidance to Investment Advisors and Portfolio Managers on compliance matters
- Deliver ongoing compliance training and education to branch personnel
- Review and approve marketing materials to ensure regulatory compliance
- Contribute to special compliance projects and program development initiatives
- 5+ years of experience in a compliance role within the financial services industry
- Minimum 3 years of experience as a Tier 1 Supervisor with a CIRO Dealer Member
- Post-secondary education
- Eligible for immediate registration as a designated supervisor of managed accounts with CIRO
- Ability to maintain continuing education requirements for IIROC/CIRO registrants
- Strong knowledge of Canadian financial services regulations, including CIRO and CSA requirements
- Excellent communication skills with the ability to work effectively with advisors, staff, and senior leadership
- Strong analytical and problem-solving abilities
- Organized and able to manage multiple priorities while meeting deadlines
- Proficiency with Microsoft Office applications