Bilingual Senior Compliance Officer, Branch Audit
Core
Conduct branch audits across Canada to identify and resolve regulatory compliance deficiencies, while delivering professional development training to branch managers and staff.
Role type
Senior Compliance Officer (Branch Audit)
Builds
Audit reports and compliance training programs
Domain
Financial Services / Securities Regulation
Required skills
Regulatory compliance auditing, Securities legislation knowledge, SRO rules interpretation, Branch management support, Compliance training delivery, MS Office proficiency
Preferred skills
Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH), Branch Manager Course
Technologies
MS Office (Word, Excel, PowerPoint, Outlook)
Responsibilities
Travel to branches to identify and address regulatory compliance gaps, Create and complete audit reports based on findings, Deliver compliance training during Professional Development days, Collaborate with Branch Managers on ongoing education, Stay updated on securities regulatory changes and firm policies
Seniority
Senior, hands-on IC