Compliance Officer, Finance & Banking

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** Job Description
**** Compliance Officer*
* ** Build the future with us
** 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.

** What you’ll accomplish with us
** 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.

** What could accelerate your success in this role
** 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
* PDO/OPD or Mutual Fund Dealer Compliance Course or Branch Managers Course an asset;
* Experience and knowledge of cyber fraud and investigations would be an asset
* Advanced French (both written and verbal) would be required for this role as you would be providing our French speaking advisors with guidance regarding the processes and answering any questions that they may have on a daily basis. You would also need to conduct investigations that might involve French only speaking stakeholders as well as have interactions with regulators.

** Why you’ll love working with us*
* · A work environment where learning and development merge with a collective pursuit…