Compliance Associate

Role overview

Responsibilities

• Conduct daily trade reviews and review exception reports; document and escalate potential issues.
• Monitor email and the Compliance inbox, respond to routine inquiries, and escalate complex matters.
• Assist with certificate deposits, security legend removals, referral agreements, and related documentation and tracking.
• Maintain compliance activity logs and records; assist with portfolio reviews, reporting, and follow-up.
• Support Prudent Process documentation reviews, database maintenance, and monitoring.
• Help coordinate continuing education and prepare materials.
• Support compliance procedures, recordkeeping, process improvements, examinations, audit remediation, and Compliance Edge implementation.
• Attend team and firm meetings and participate in other compliance tasks and projects as assigned.
• Travel on an ad hoc basis if required.

Qualifications

• Excellent proficiency with MS Outlook, Word, Excel, and PowerPoint.
• Strong organization, multitasking, prioritization, and attention to detail.
• Ability to build relationships, manage competing priorities, and work on simultaneous projects.
• Effective verbal and written communication, strong customer service and interpersonal skills, and willingness to learn.
• Securities operations experience, regulatory or compliance knowledge, and Pershing NetX360 experience are assets.
• Prior securities, financial services, or compliance experience is an asset; U.S. broker-dealer or Canadian cross-border dealer experience is also an asset, not required.
• FINRA SIE, Series 7, and Series 24 exams are highly desired, or candidates may be willing to complete them within a reasonable timeframe.

Benefits

• Benefits, subject to eligibility, include health benefits, RRSP matching, an employee stock purchase plan, paid time off, volunteer days, discretionary bonuses, and tuition reimbursement.
• The employer mentions flexible workstyles but does not specify a workplace arrangement for this position.