DESCRIPTION

This full-time, permanent, position is best suited to someone with experience in the compliance area of financial services. Exceptional organization and prioritization skills and a strong focus on accurate task completion are required for this role. Ideal candidates will possess solid verbal/written communication and interpersonal skills, the ability to learn quickly and easily, as well as the enthusiasm to fully participate as a member of a team while contributing to a positive work environment.
Key Responsibilities

Supervision Reporting and Administration

• Provide administrative support for supervision reporting preparation,
• Compliance Support and Reporting
• Provide administrative support to the Compliance Officer
• Generate compliance reports and administer follow-ups
• Review correspondence to ensure compliance baselines are met
• Perform daily trade and account supervision, including trading blotter review
• Coordinate and track various internal supervision requirements
• Manage new applications and renewals for insurance licensing
• Compile documentation regarding compliance issues
• Licensing and Internal Policies
• Coordinate compliance training sessions and maintain training records
• Prepare documentation for internal audits and regulatory reviews
• Stay informed of regulatory updates and communicate relevant changes to staff

Administrative and Support Tasks

• Part of the reception vacation/absence coverage team
• Manage scheduling, calendar, and follow-ups
• Perform other administrative tasks and projects as required

Job Requirements

• Post-secondary education in Business Administration or equivalent experience
• Minimum 2 years financial industry experience
• Excellent organizational and communication skills
• High level of attention to detail and excellent follow ups

ADDITIONAL SKILLS

(none specified)

• Part of the reception vacation/absence coverage team
• Manage scheduling, calendar, and follow-ups
• Perform other administrative tasks and projects as require