ARE YOU A SENIOR COMPLIANCE OFFICER LOOKING TO TAKE YOUR CAREER TO THE NEXT LEVEL? Our client is looking for an experienced professional to join their team for a 6 month contract.
Senior Compliance Officer - 6 Month Contract
The incumbent will be part of the national head office compliance team for investments sold through the retail banking network (mutual funds, term investments, etc.).
About the Opportunity
- Reviewing, investigating, and responding to customer and regulatory issues
- Assessing compliance risk across the branch network and assisting first line compliance and the business with compliance issues
- Ensure that the bank is effectively serving customers by ensuring and facilitating compliance with the changing regulatory landscape for investment dealers.
- Monitoring and surveilling trade activities
- Act as the second line of compliance
- University degree or College diploma
- Ability to think critically and apply regulatory requirements to complex and ambiguous real-life situations, including complaints and supervisory investigations
- Mutual fund/investment dealer experience, either in a compliance/risk function or at the branch level
- Some familiarity with MFDA Rules and/or CSA or AFM requirements.
- Securities training experience is an asset. (e.g. CSC, CPH, IFIC, Branch Manager’s Course, Branch Compliance Officer Course, etc.)
- Previous compliance experience within a financial institution is preferred
- Able to self-manage and multitask with the ability to handle large volumes of work and competing priorities
- Excellent communication skills both written and verbal
- Sound judgment with high attention to detail
$40 - $45/hour
How to Apply
Click the “Apply Now” button and follow the instructions to submit your resume. Please note that we only accept documents in MS Word or Rich Text formats. When referencing this job, quote #23598.
You must currently reside within the Greater Toronto Area and be permitted to work in Canada to be considered for this opportunity. A recruiter will be in touch with you if your profile meets our client’s requirements for this role.
Lannick is the premier professional recruitment and staffing firm in the Greater Toronto Area. Founded in 1985, Lannick provides best-in-class finance, accounting and technology professionals at all roles and levels through its four divisions: Lannick Finance & Accounting, Pro Count Staffing, Lannick Technology, and Lannick Project Recruitment. Lannick places more than 1,300 candidates annually and is a preferred vendor for Canada’s most successful organizations. Learn more about Lannick, a Vaco company, at www.lannick.com.