Senior Compliance Supervisor in Financial Services
Job in
Winnipeg, Manitoba, A3C, Canada
Listed on 2026-06-12
Listing for:
Harbourfront Wealth Management
Full Time
position Listed on 2026-06-12
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Risk Manager/Analyst -
Management
Regulatory Compliance Specialist, Risk Manager/Analyst
Job Description & How to Apply Below
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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Position Requirements
10+ Years
work experience
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