Junior Compliance Officer at Roots Funding

Accelerate your career in compliance with Roots Funding as a Junior Compliance Officer. Join our dynamic compliance team and work with securities regulations, AML/KYC, and private market activities.

Roots Funding Inc., recognized as an Exempt Market Dealer, seeks a detail-oriented Junior Compliance Officer. In this hands-on role, you will support the Chief Compliance Officer while gaining exposure to compliance strategies across several jurisdictions. This role is tailored for early-career professionals interested in rapidly enhancing their compliance knowledge in a multi-jurisdictional context.

Key Responsibilities:

• Conduct KYC, KYP, and suitability reviews for investors

• Support operations of the AML/ATF program

• Review offering documents and investor files for compliance

• Prepare and track regulatory filings across jurisdictions

• Assist with conflicts of interest management

Requirements:

• Completion of the Canadian Securities Course (CSC)

• 0 to 2 years of compliance or onboarding experience

• Strong attention to detail and documentation skills

• Proficiency with Microsoft 365

• Degree in finance, business, or related field

Leverage your compliance expertise to support Roots Funding’s innovative approaches in the financial sector.