Our client, a leader in Canada in the financial services industry, has an immediate need for a Compliance Supervisor / IIROC Supervisor in Winnipeg, Manitoba. This position reports to the Manager of Compliance & Supervision and is registered with the Investment Industry Regulatory Organization of Canada (IIROC) to supervise the activities of all registrants of the firm.
- Conducting tier 1 and tier 2 supervision activities including; reviewing and approving daily and monthly trade reports, account opening and KYC updates, outside business activities and email and social media monitoring.
- Supporting registrants in resolving compliance issues with regulatory guideline interpretation and with inquiries relating to acceptance of unique or exceptional situations.
- Managing regulatory obligations and commitments, such as; 30-day/90-day training programs, new registrant supervision as well as close supervision.
- Participating in internal compliance reviews or external regulator audits conducted at Head Office or the branches.
- Continually look for ways to improve the firm’s system of compliance and supervision. Continually look for ways to improve the firm’s system of compliance and supervision.
- Perform other duties as may be assigned.
Education & Requirements
- Bachelor’s degree in business administration, finance, or similar field of study.
- Successful completion of the proficiency requirements for a Supervisor, including; Canadian Securities Course,
- Conduct and Practices Handbook, Branch Managers Course and Effective Management Seminar.
- Minimum of 5 years relevant experience, preferably all of which working for a Dealer Member.
- Successful completion of CFP or equivalent would be an asset.
- Successful completion of Derivatives Fundamentals, Options Licensing and Options Supervisor Courses would be an asset.
- In-depth knowledge of the financial services industry, including understanding of regulatory requirements of IIROC and other regulators.
RecruiterOperations Accounting and Finance Management Other
If your qualifications are a match for this position please apply online for immediate consideration. Thank you for your application.
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