Branch Compliance Officer

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

Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 9 million clients and 20,000 financial advisors across the U.S. and Canada, we’re proud to be privately-owned, placing the focus on our clients rather than shareholder returns.

Behind everything we do is our purpose: We partner for positive impact to improve the lives of our clients and colleagues, and together, better our communities and society. We are an innovative, flexible, and inclusive organization that attracts, develops, and inspires performance excellence and a sense of belonging.

People are at the center of our partnership. Edward Jones associates are seen, heard, respected, and supported. This is what we believe makes us the best place to start or build your career.

View our Purpose, Inclusion and Citizenship Report.

¹Fortune 500, published June 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.

We are seeking a detail oriented and proactive Branch Compliance Officer for our Compliance team. The Branch Compliance Officer is responsible for performing delegated tier one supervisory and compliance tasks to ensure adherence to regulatory standards, company policies, and best practices. This role plays a critical part in protecting the interests of clients, the firm, and the financial industry by monitoring activities, identifying potential risks, and maintaining proper documentation.

Key Responsibilities:

• Conduct Tier 1 supervision activities, including daily and monthly trade reviews, close supervision and new registrant supervision.
• Effectively managing queries and other tasks to support trade supervision within the broader team.
• Through daily and monthly trade review activities identify and help resolve issues impacting risk, regulatory requirements, and our policies and procedures.
• Proactively identify issues and coaching opportunities for field leaders and advisors to improve compliance outcomes.
• Proactively identify and share opportunities for improvement in policies, processes, tools, and reporting across the Canadian compliance division.
• Deal with compliance issues as identified, through to resolution and/or appropriate escalation
• Collaborate with the Tier 1 stakeholders and other members of the Compliance team to achieve divisional Edward Jones objectives.
• Act as back up during absence of other Tier 1 team members and compliance staff
• Assist with compliance projects and initiatives as needed
• Conduct routine and targeted email surveillance to identify potential risks, regulatory violations, or breaches of firm policy.

• 3-5 years of compliance or supervisory experience with a CIRO dealer member firm.
• Bachelor's degree preferred, or relevant work experience.
• Required Courses: Canadian Securities Course (CSC), the Conduct and Practices Handbook (CPH), and Investment Dealers Supervisors Course (IDSC).
• Preferred: Current registration as a Supervisor with CIRO (Canadian Investment Regulatory Organization)
• Preferred: English/French (bilingual).
• This position requires comprehensive knowledge of both industry rules and regulations along with firm policies. A strong understanding of the firm's supervisory systems and supervisory procedures is required. Ongoing understanding of industry issues, trends and "hot topics" is required.
• Strong communication skills, be a competent public speaker, and be able to clearly articulate, communicate and customize messages and information to a wide audience.
• Must have demonstrated ability to deliver difficult and/or complex messages to financial advisors with empathy and emotional intelligence, and a professional manner.

Candidates that live within a commutable distance from our Mississauga, ON home office location are expected to work in the office four days per week.

At Edward Jones, we are building a place where everyone feels like they belong. We're proud of our associates' contributions to the firm and the recognitions we have received.

Check out our U.S. awards and accolades: Insights & Information Blog Postings about Edward Jones

Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones

Edward Jones does not discriminate on the basis of race, color, gender, religion, national origin, age, disability, sexual orientation, pregnancy, veteran status, genetic information or any other basis prohibited by applicable law.

At Edward Jones, we value and respect our associates and their contributions, and we recognize individual efforts through a rewards program that promotes a long-term career, financial security and well-being. Visit our career site to learn more about our total compensation approach, which in addition to base salary, typically includes benefits, bonuses and profit sharing. The salary range for this role is based on national data and actual pay is based on skills, experience, education, and other relevant factors for a potential new associate.