Compliance Officer, Finance & Banking

Overview

Compliance Officer

Build the future with us

Are you eager to contribute to the purpose of a company that aims to help its clients feel confident and secure about their future? As a Compliance Officer you will play a key role in investigating and responding to client complaints, regulatory inquiries, and internal matters involving registrant conduct. This role serves as a key resource within the Compliance Department, providing leadership, expertise, and sound judgment across a wide range of regulatory, investigative, and operational responsibilities.

The Compliance Officer ensures all activities are performed in accordance with applicable legislation, CIRO Rules, internal policies, and industry best practices while supporting effective risk management across the organization.

This position is a great opportunity to showcase your skills and fully realize your potential within a caring and trustworthy company. Here, people and their development are at the heart of our priorities, fostering an environment that encourages collaboration and innovation.

As a Compliance Officer you’ll be at the core of our mission. Here are the main responsibilities:

• Conduct investigations of client complaints in accordance with CIRO Rules, including detailed analysis of client files, profit and loss calculations, suitability analysis, and review of relevant correspondence.
• Conduct internal investigations, as required, in respect of registrant conduct and client trading.
• Analyze evidence and document analysis to provide recommended outcomes for complaint resolution.
• Draft client correspondence throughout the complaint handling process: from standard correspondence to substantive responses.
• Prepare responses for information requests from regulators and OBSI, information access requests, and document production orders.
• Monitor and document complaint processes to ensure timely, effective investigation and resolution of complaints and regulatory inquiries.
• Handle requests from clients to access their personal information under PIPEDA, ensuring verification of identity, accurate retrieval of requested data, secure transmission of information, and compliance with privacy legislation and internal protocols.
• Provide administrative coordination and support for cyber incident management, including maintaining accurate documentation, liaising with internal stakeholders and external vendors, and ensuring timely escalation and resolution in accordance with organizational policies and regulatory requirements.
• Serve as a contact/resource for all stakeholders as needed (i.e., Corporate Branch Managers, Compliance Staff, and Advisors).
• Assist in the implementation and delivery of the department’s Complaint Handling Policy and CPPM.
• Actively participate in daily department meetings and develop and deliver proactive strategies that can drive innovation, enhance productivity, and achieve business goals.
• Work flexibly and collaboratively with other departments and stakeholders to ensure that the business needs are being met.
• Other projects as assigned.

We’re looking for someone who:

• Is known for their excellent analytical, problem-solving, and communication skills.
• Has extensive knowledge of the mutual fund industry and products, including awareness of new and amended regulatory rules. Previous mutual fund dealer and/or securities compliance experience required;
• Strong understanding of CIRO regulation and regulatory filing requirements;
• Stands out for their strong written and oral communication skills to communicate effectively and professionally with clients, advisors, regulators, and management in a clear, concise, complete, and logical manner about complex matters
• Demonstrates strong interviewing skills, including the ability to independently prepare for and conduct interviews and judge the reliability, credibility, and veracity of persons interviewed
• Is recognized for their ability to work independently, under pressure and meet strict deadlines
• Has 3+ years of experience in a Compliance role
• Canadian Securities Course or IFIC Mutual Funds Course or equivalent is required
• P…