Senior Branch Compliance Officer

Senior Branch Compliance Officer (Mississauga)

Edward Jones is a Fortune 500 financial services firm seeking a Senior Branch Compliance Officer (Sr. BCO) of Managed Accounts to oversee and enhance compliance oversight across branch teams. The role involves regulatory supervision, risk management, and mentorship while ensuring adherence to CIRO standards.

• Compliance oversight of daily advisor and team activities, monitoring for regulatory and internal policy compliance.
• Serve as primary compliance point of contact for branches, providing guidance on regulatory interpretation and policy application.
• Facilitate training classes for financial advisor trainees and registered branch associates.
• Review, assess, and approve outside activity disclosures submitted by associates.
• Identify and mitigate compliance risks within branch activities, collaborating with compliance teams.
• Maintain detailed records of compliance activities and oversight.
• Report risks and observations to leadership and communicate supervisory issues to senior leadership and regulators.
• Conduct on‑site branch visits to provide education and build relationships.
• Contact clients as needed regarding trade activity and disclosures.
• Assist with workflow management and act as backup for Sr Compliance Officers.
• Provide leadership and guidance to team members and support firm‑wide compliance initiatives.

• Bachelor’s degree, college diploma, or equivalent work experience.
• Must have completed:
  Canadian Securities Course;
  Conduct and Practices Handbook;
  Investment Dealer Supervisors Course.
• Preferred:
  Chartered Investment Manager designation.
• Minimum 5 years of relevant experience working for an investment dealer.
• Registered Supervisor with CIRO, holding the “Supervisor responsible for the Supervision of Managed Accounts” category or equivalent designation.
• Strong analytical, organizational, and problem‑solving skills.
• Excellent communication (verbal and written) and presentation skills.
• Proficiency in industry regulations, firm policies, business practices, and product offerings.

Edward Jones does not discriminate on the basis of race, color, gender, religion, national origin, age, disability, sexual orientation, pregnancy, veteran status, genetic information or any other basis prohibited by applicable law.