Compliance Supervisor

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.

Responsibilities

  • 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.

Job ID

W707

City

Winnipeg, MB

Remuneration

$80,000 - $100,000

Recruiter

Categories:    Operations    Accounting and Finance    Management    Other   

Apply Online

If your qualifications are a match for this position please apply online for immediate consideration. Thank you for your application.

Position Applying For:

Compliance Supervisor

Please attach resumes in Word, PDF or .txt format.