Senior Compliance Officer

Senior Compliance Officer

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Canada, Remote

Accounting & Finance




Join a top employer and advance your career in the financial services industry. Aplin has partnered with a Vancouver-based company to hire a Compliance Supervisor who will be responsible for ensuring employees and the company follow all New SRO (formerly IIROC) industry guidelines. Important job duties include identifying regulatory compliance issues, conducting compliance assessments, and correcting compliance risks.

This position has a great opportunity for growth and the ideal candidate will eventually move into the Chief Compliance Officer role.

This position is open to candidates Canada-wide, but preference will be given to those willing to work hybrid in Vancouver.

  • Daily/Monthly supervision
  • Review and approval of new account applications
  • Work closely with the PM and CCO to enhance, harmonize, and modernize the compliance programs
  • Contribute to the development of the training program for onboarding new staff and, as needed, training new processes and technology implementations
  • Help identify areas of inconsistency or gaps in the compliance programs and propose solutions
  • Execute the annual risk questionnaire process
  • Coordinate the ongoing maintenance of the policies and procedures manuals
  • Coordinate internal and external audits
  • Review and approval of marketing materials
  • Member of the PM Committee and Product Review Committee
  • Undergraduate Degree
  • The following courses are Must Haves: Canadian Securities Course (CSC), Conduct and Practices Handbook Course (CPH), and Investment Dealer Supervisors Course (IDSC) formerly known as Branch Managers Course (BMC)
  • The following courses are an asset: Derivatives Fundamental Course and Chief Compliance Officers Course
  • Two years of relevant experience working for an investment dealer or Two years of relevant experience working for a Mutual Fund Dealer, portfolio manager, or entity governed by a recognized foreign self?regulatory organization

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