New Account and material change approvals for Portfolio Manager firms and Institutional Accounts
Monitor for Manipulative and Deceptive trading activities and other securities regulations violations, including but not limited to Universal Market Integrity Rules (UMIR)
Lead or assist with compliance projects and initiatives
Assist in the preparation of the business/new accounts/compliance monthly meeting
Reviews, annual certifications, and compliance manual updates
Implement, amend and enhance policies and procedures
Liaise with Introducing Broker and Portfolio Manager firms on compliance matters and issues, working towards resolutions
Provide day-to-day compliance support to the business line in onboarding new or potential clients offering solutions in a collaborative manner

Post-secondary degree in a related field
3
5 years’ work experience in an IIROC environment
Sound knowledge of the rules and regulations governing the securities industry (IIROC, UMIR, CSA, etc.)
Investment Dealer Supervisor course and minimum two years of relevant experience working for an investment dealer required for registration as an IIROC Designated Supervisor
Options Supervisor course and, both the Derivatives Fundamentals Course and the Options Licensing Course, or Derivatives Fundamentals and Options Licensing Course (all courses to be completed within 3 months)
Excellent analytical and investigative skills with strong attention to detail
Excellent interpersonal skills and effective presentation skills
Ability to work with minimum supervision with a strong commitment to customer service
Disciplined work ethic and committed to producing excellence in work output
Proficient in Microsoft Outlook, Excel, and Word
Fluent communication skills in English are required and bilingual skills in French are an asset

Competitive compensation package that rewards and recognizes individual contributions
Excellent health, dental and insurance benefits to meet the diverse needs of our employees
Generous vacation time, fitness benefit, parental leave top-up options
Matching contributions to our retirement program
Commitment to the continuous improvement of our staff through learning & development and an education assistance program
Regular social events to foster teamwork

Compliance Officer, Correspondent and Institutional

Key skills