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Reporting to the Manager, Compliance Policy, Training and Workflow , the Compliance Officer leverages extensive knowledge of CIRO and securities regulatory requirements to ensure dealer policies, training and workflows are up-to-date and effective. This program allows the firm to supervise effectively and efficiently, delivering relevant policies, training, and updates using modern technology and workflow solutions.

REQUIRED QUALIFICATIONS:

• Bachelor’s Degree, College Diploma, or relevant industry courses strongly preferred
• 2 + years of compliance experience in the financial services industry.
• Strong capability to use and implement modern technology, particularly AI-based tools
• Knowledge of CIRO rules and the Securities Act, and relevant legislation and regulatory framework and requirements.
• Strong understanding of CIRO requirements and industry best practices.
• Ability to manage and optimize workflow technology for effective training delivery.
• Excellent technology skills: SharePoint, Power BI, Power Automate, Word, Excel, PowerPoint, Outlook, Adobe Acrobat
• Solid ability to communicate sophisticated information clearly both verbally and in writing, issues and circumstances to all levels of staff and management, including senior management.
• Excellent planning, organizational, problem solving, project management and risk management skills.
• Strong leadership and social skills to empower staff and exert influence across multiple levels of management.
• Strong presentation skills
• Able to assess and handle challenging business unit priorities.
• Self-starter with ability to complete tasks properly.
• Ability to be flexible and adaptable to change.
• Comfortable working with a wide variety of internal and third-party information systems.

PREFERRED QUALIFICATIONS:

• Specific Industry certification is preferred, including the Canadian Securities Course and the Conduct and Practices Handbook Exam.
• Bilingualism (English & French) an asset.

• Assist with developing and delivering policies and training programs to equip advisors and staff with the necessary regulatory knowledge.
• Implement and oversee continuous improvements in workflow technology to provide top-tier training to staff and advisors.
• Provide support and subject matter expertise on policy-related queries forwarded by other teams within the department and business unit.
• Complete the annual Policy and Procedure review process.
• Maintain accurate records of compliance training completion and reporting.
• Monitor and manage the team inbox to address inquiries regarding advisor training and the compliance and ethics questionnaire. Log unresolved issues and collaborate with the support desk for timely resolution.
• Create content for the Compliance newsletter and Latest Compliance News to communicate key policy changes to advisors and staff.
• Collaborate with the Manager of Policy Training and Workflow to identify and implement process improvements within the compliance team, leveraging end-user technology and partnering with technology experts for complex solutions.
• Utilize cutting-edge technology, including AI-based tools, to enhance compliance processes.
• Assist in developing SharePoint sites, creating Power BI reports and dashboards, and utilizing Power Automate and MS Forms to automate workflows and improve efficiency. Provide technical support and training to end users as needed.
• Manage the department’s Records and Information programs as the Department Records Specialist. Provide record management guidance and liaise with the divisional records officer on compliance requirements. Conduct yearly reviews of departmental records and develop retention schedules for the divisional records destruction program.
• Ensure the Regulatory Compliance Management Program is maintained and oversee the timely completion of Risk and Control Assessments and Yearly Certification of Archer records.
• Ensure the completion of annual attestations within the Compliance department, including the Conflicts of Interest Inventory, Compliance Manual, and Inventory of Regulatory Requirements.
• Research, develop, coordinate, implement and participate in special projects that are assigned by the reporting manager.
• Build and maintain strong collaborative relationships with Advisory Services management and departments and other Canadian Division business units.