Senior Compliance Supervisor in Financial Services

Advance your career in compliance with Harbourfront Wealth as a Senior Compliance Officer. This hybrid position allows for collaboration and oversight within a top financial services firm located in Vancouver, BC.

In the role of Senior Compliance Officer, you will report to the Director of Compliance Supervision & Program Development, leading compliance initiatives and supporting regulatory adherence. The ideal candidate will have at least five years of experience in compliance, including three years as a Tier 1 Supervisor. You will focus on training staff, managing accounts, and ensuring a high standard of compliance education across the organization.

Key Responsibilities:

• Train staff on regulatory compliance protocols

• Conduct daily trading oversight and monthly reviews

• Approve and update customer accounts

• Support branch personnel with compliance inquiries

• Manage internal and external audits

Requirements:

• 5+ years in a compliance role

• Proven Tier 1 Supervisor experience with CIRO

• Relevant post-secondary education

• Excellent analytical and communication skills

• Competency in MS Office Suite

Contribute to a culture of compliance at Harbourfront Wealth while enhancing your professional expertise.
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