Branch Review Compliance Officer
Core
Conducting branch reviews to identify compliance gaps, coaching representatives, and implementing corrective measures to protect client interests in the mutual fund industry.
Role type
Senior IC compliance officer (branch reviews)
Builds
Compliance improvements and corrective action plans for financial service branches
Domain
Financial services (Mutual Funds)
Required skills
Branch review execution, audit expertise, mutual fund industry knowledge, coaching and training, risk analysis, report writing, stakeholder management, travel management, Microsoft Office proficiency
Preferred skills
CIRO or CSI certification, experience with digital compliance tools, AI tool curiosity
Technologies
Microsoft Word, Excel, Outlook, Teams
Responsibilities
Lead branch reviews and identify compliance gaps; Coach representatives to strengthen compliance practices; Prepare reports connecting issues to business risks; Partner with Audit and Regional Compliance Leaders; Support special Head Office projects; Travel approximately 50% of the time in Western Canada
Seniority
Mid-Senior, hands-on IC