Compliance Officer, Retail Brokerage - Wealth Distribution Compliance

Job description

Requisition ID: 252746 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Purpose: Contribute to the overall success of the Canadian Wealth Distribution Compliance team, ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives. Ensure all activities conducted are in compliance with governing regulations, internal policies and procedures. Accountabilities: - Contribute to a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge. - Conduct compliance oversight (surveillance duties) in accordance with applicable regulatory requirements including CIRO Rules (3100,3400, 3900) and internal policies and procedures to detect violations and potential violations. - Conduct effective follow-up on issues and potential violations identified in a timely and efficient manner. - Execute the risk based regulatory compliance monitoring program to identify areas of regulatory compliance risk exposure and eensure that reviews are conducted are high quality and appropriate. - Assist in identifying gaps in t...