Branch Compliance Lead - Regulatory Risk & Trade Oversight

Edward Jones; Mississauga; On-site; CAD 75,000 - 110,000; Full time

Job summary

Edward Jones in Mississauga is seeking a detail oriented Branch Compliance Officer to join the Compliance team. This role monitors daily activities, conducts Tier 1 supervision, and ensures adherence to regulatory standards and firm policies.

You will review trades, identify risk issues, coach field leaders, and collaborate with the team to improve processes. A 3–5 year track record in CIRO-regulated environments is preferred.

Qualifications

• 3–5 years of compliance or supervisory experience with a CIRO dealer member firm.
• Bachelor’s degree preferred, or relevant work experience.
• Required: CSC, CPH, and IDSC courses.
• Preferred: CIRO Supervisor registration; bilingual English/French.

Responsibilities

• Conduct Tier 1 trade supervision and daily/monthly reviews.
• Manage queries to support trade supervision.
• Identify issues affecting risk, regulatory requirements, and policies.
• Coach field leaders and advisors to improve compliance outcomes.
• Escalate and resolve compliance issues with appropriate actions.
• Collaborate with Tier 1 stakeholders to meet objectives.
• Back up other Tier 1 staff and assist with projects.
• Perform routine email surveillance to spot risks.

Skills

Regulatory knowledge

Compliance experience

Public speaking

Bilingual English/French

Education

Bachelor's degree preferred

Canadian Securities Course (CSC)

Conduct and Practices Handbook (CPH)

Investment Dealers Supervisors Course (IDSC)

CIRO Supervisor registration (preferred)

Job description

Edward Jones in Mississauga is seeking a detail oriented Branch Compliance Officer to join the Compliance team. This role monitors daily activities, conducts Tier 1 supervision, and ensures adherence to regulatory standards and firm policies.

You will review trades, identify risk issues, coach field leaders, and collaborate with the team to improve processes. A 3–5 year track record in CIRO-regulated environments is preferred.