Compliance Supervisor: Regulatory Oversight & Risk

Caldwell Securities Ltd.; Toronto; On-site; CAD 95,000 - 120,000; Full time

Benefits offered by this job

Comprehensive Total Rewards Program

Leadership coaching and development opportunities

Collaborative and agile team environment

Job summary

An investment firm in Toronto seeks a Compliance Supervisor to oversee compliance monitoring, assess regulatory adherence, and support staff in mitigating risks. This role demands a university degree in business or finance and 3-5 years of investment dealing experience. The ideal candidate will have strong analytical skills and the ability to manage regulatory inquiries while ensuring adherence to compliance policies. Competitive rewards and a supportive workplace culture are offered.

Qualifications

• 3 to 5+ years of progressive experience with full-service Investment dealers.
• Ability to become registered in the category of Supervisor, within three months.
• Completion of Intermediate knowledge of compliance practices and legal regulations.

Responsibilities

• Perform day-to-day supervisory compliance monitoring and testing.
• Monitor and assess compliance by Caldwell staff and clients.
• Provide support for regulatory initiatives and participate in internal working groups.

Skills

Analytical skills

Communication skills

Interpersonal skills

Time management

Detail-oriented

Education

University Degree related to business or finance

Tools

Microsoft Office

Dataphile

Position Watch

Job description

An investment firm in Toronto seeks a Compliance Supervisor to oversee compliance monitoring, assess regulatory adherence, and support staff in mitigating risks. This role demands a university degree in business or finance and 3-5 years of investment dealing experience. The ideal candidate will have strong analytical skills and the ability to manage regulatory inquiries while ensuring adherence to compliance policies. Competitive rewards and a supportive workplace culture are offered.