Wealth Compliance Advisor (Contract)

Position overview

Compliance supervision and review

• Support escalations and resolve issues identified through daily and monthly tier-one reviews of client and employee account activity.
• Review and approve new account documentation for suitability and trading corrections.
• Conduct email surveillance and social media reviews.
• Approve new issues, private placements, and syndication processes.
• Review advisor marketing practices and coordinate approvals with Marketing.
• Participate in audits and compliance reviews, follow up on findings, and coach teams.

Regional guidance and coordination

• Advise advisors and their teams on compliance policies, procedures, and execution activities; ensure adherence to firm and regulatory requirements.
• Coordinate compliance matters with Operations, Compliance, Human Resources, Marketing, Products and Services, IT, and Credit.
• Work with branch managers and Risk, Compliance, and Legal teams to manage and resolve complaints.
• Share regional compliance issues with branch managers, National Sales, and the Chief Risk Officer; act as a first-level escalation point.
• Develop action plans to improve compliance adoption and review results; contribute to cross-functional initiatives and track deliverables.
• Maintain a front-office procedures database and support onboarding and training for new recruits, including account approvals, system navigation, and procedural education.

Qualifications

• 5–10 years of compliance or related experience at a CIRO-regulated investment dealer.
• French proficiency is required.
• Strong written and oral communication, relationship management, problem solving, mediation, leadership, analytical ability, attention to detail, and prioritization.
• Good judgment regarding regulations and supervisory issues.
• Dataphile, Salesforce CRM, and PortfolioAid proficiency are assets.
• Proficiency with Microsoft Office Suite.