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
Education:
* University degree or equivalent
* Canadian Securities Course or IFSE Canadian Investment Funds Course
* Branch Managers Course
* Chief Compliance Officers Course