Toronto Employment Platform

Chief compliance officer

CAD70000-85000 per year

Chief Compliance Officer – Full-Time Regular

Mutual Fund Dealer.

What’s in it for you:

* Paid Statutory Holidays

* Permanent Employment

* Salary of $70,000-$85,000 (based on experience)

What this position is:

* Establish, maintain policies and procedures for assessing compliance

* Monitor, access compliance by the firm and individuals

* Report to the UDP of the firm

* Submit Annual Reports

* Review, approve activities of the member and its approved persons

* Review daily trading activities

* Supervise the activities of the Branch Managers and Conduct Branch Reviews

* Approve new client accounts

* Act as a resource for approved persons and employees regarding policies or procedures

What you bring to this career:

* Broad knowledge and understanding of the Canadian Securities and Mutual Fund industries

* Broad knowledge of regulations and their applications, By-Laws, Regulations, Policies and Rules of the MFDA

* Functions of other regulatory bodies

* Previous experience in the Securities industry or with a Mutual Fund Dealer or Mutual Fund company is an asset

* Strong written and verbal skills

* Strong knowledge of Microsoft Office

* Well-developed research, analytical, problem-solving, and organizational skills

* Self-motivated


* University degree or equivalent

* Canadian Securities Course or IFSE Canadian Investment Funds Course

* Branch Managers Course

* Chief Compliance Officers Course

Only candidates can apply for this job.
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