The Compliance Officer is responsible for ensuring compliance with laws and regulations of the various regulatory bodies as they relate to securities registration and insurance licensing for individuals, the firm, and branch locations. The role is also responsible for ensuring compliance with internal policies through end-to-end processes as well as the oversight, including monitoring and testing, of certain delegated activities including delivery of registration presentations and training to the financial advisor and registered branch associate trainees during onboarding.

Key Responsibilities

• Reporting and/or submission to CIRO, other self-regulatory organizations or Insurance Councils in advance of regulatory due dates.
• Development and implementation of policies and procedures.
• Preparation and/or approval of Compliance Bulletins or other written communications for branch team members and others in the firm.
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