Financial Associate- Compliance Officer

We have a very exciting opportunity for a Financial Associate who is looking to be trained in Compliance! In this role, you will be trained for a leadership role, eventually becoming our clients Branch Compliance Manager in Halifax. This a great opportunity for someone looking for a long-term career in compliance with an excellent company that supports employee growth and has a great corporate culture!

As the successful incumbent, you will be trained in all aspects of Compliance, with the end result to be responsible for servicing our client’s expanding IIROC (and MFDA) full service business. Your day to day activities would include providing daily Tier 1 supervision of advisors, approving new accounts and material changes to existing accounts, and being the go-to person for all matters related compliance for your team. You would also be responsible for ensuring Know-Your-Client requirements are being followed by the branch sales force, and providing coaching and training to advisors.

To be successful in this role, you should have your IFIC License, a Bachelor’s degree or diploma in a related field, and 2 years of experience. You should be organized, detail oriented, and have excellent interpersonal and communication skills (both written and oral). Microsoft Office skills are a must and experience with Dataphile would be considered an asset. The ability to work independently and excellent time management skills are essential, as this is a very fast paced environment!

A generous compensation package which includes a competitive base salary, benefits, and a company paid pension will be determined based on the candidate’s qualifications and experience.

For additional details, please contact Erica MacDonald at Summit Search Group directly: [email protected] and for any applications please note “Compliance” as the subject. Please note that only those candidates who fulfill the requirements will receive a response. Thanks, Erica

Job ID



Halifax, NS


Depends on experience


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


Financial Associate- Compliance Officer