Associate, Compliance - Supervision and Sales Conduct

📋 Description

• Conduct ongoing supervision of PMs, APMs, and sales activity.
• Assess KYC, KYP, and suitability obligations under Canadian securities laws.
• Review financial plans for regulatory alignment and client objectives.
• Run the sales conduct review program and remediation efforts.
• Audit onboarding for KYC completeness and KYP knowledge.
• Identify conflicts of interest and escalate findings.

🎯 Requirements

• Sales conduct experience: 3–5 years in CIRO-regulated firms.
• Regulatory knowledge: NI 31-103, CIRO IDPC, Client-Focused Reforms.
• Financial planning fluency: retirement, tax, estate planning basics.
• Supervisory credentials: CIRO/Supervisor exams or CS/CPH/IDSC eligibility.
• Sharp analytical eye: identify gaps and escalate findings.
• Maker mentality: leverage AI to automate tasks.

🎁 Benefits

• Health benefits and life insurance
• Employer-matched group savings
• 20 vacation days and 4 wellness days
• Unlimited sick and mental health days
• 90 days outside Canada per year