Securities Compliance Officer Saint John

Use analytical and investigative skills as a Securities Compliance Officer in Saint John with the Financial and Consumer Services Commission. Support investor protection and market confidence.
This 15-month contract serves the Commission’s Securities Division. You will assess registrants, support securities regulation, and contribute to a fair, effective marketplace. The work includes compliance reviews, registration, guidance, and regulatory initiatives.

Key Responsibilities:

Lead compliance reviews and examinations of registered firms and individuals
Identify compliance risks and recommend appropriate regulatory action
Represent the Commission on Canadian Securities Administrators committees
Review registration applications and assess applicant suitability
Advise registrants and staff on compliance and registration matters
Requirements:
University degree in business, commerce, public administration, or related discipline
Three or more years of relevant industry work experience
Understanding of risk and compliance issues in regulatory environments
Canadian Securities Course completion or willingness to complete it
Strong analytical, organizational, interview, and communication skills
Apply analytical judgment and regulatory expertise to securities compliance, registration, and investor protection in Saint John.