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Regional Compliance Officer

Description

  • Responsible for conducting supervision reviews to ensure that business activity complies with regulatory requirements and the firm’s policies and procedures.
  • Responsible for identifying non-compliant conduct, breaches, and violations.
  • Responsible for taking the appropriate steps, following up, and escalating matters in order to ensure corrective action is effected.
  • Conduct branch audits within the coverage area.
  • Provide training, guidance, and support to the branches on regulatory initiatives.

Key skills or attributes

  • Meticulous and rigorous
  • Intelligent and articulate
  • Astute and discerning
  • Excellent communicator

Salary range:
$60,000 – $115,000

Recommended courses:
Officers’, Partners’ and Directors’ Course (OPD)
Ethics and Professional Conduct Course (EPC)
Branch Managers’ Examination Course (BM)
Canadian Investment Funds Course (CIFC)
Exempt Market Proficiency Course (EMP)
Exchange-Traded Funds Course