Compliance Manager for Financial Advisors

Enhance compliance within a branch as a Compliance Manager focusing on or ensuring advisory integrity and adherence to regulations. Strong analytical and communication skills are essential for success.

This role, requiring 5+ years of financial services experience, includes approving new accounts and reviewing advisor trading activity. You will resolve compliance issues and serve as the primary point of contact for advisors on compliance matters. Collaborating on compliance projects and promoting ongoing education are key responsibilities in this position.

Key Responsibilities:

• Approve new account applications and changes

• Perform daily and monthly trading activity reviews

• Address and escalate compliance issues appropriately

• Educate and train advisors on compliance matters

• Conduct visits at partner branch locations

Requirements:

• 5+ years in financial services

• CIRO registration needed

• Knowledge of IIROC/MFDA regulations

• Strong mediation and influencing abilities

• Proficient in Microsoft Outlook, Word, Excel

This role aligns compliance rigor with advisor relations in a financial services environment.
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