Description

• Responsible for conducting supervision reviews to ensure that business activity complies with regulatory requirements and the firm’s policies and procedures.
• Responsible for identifying non-compliant conduct, breaches, and violations.
• Responsible for taking the appropriate steps, following up, and escalating matters in order to ensure corrective action is effected.

Key skills or attributes

• Analytical
• Detail-oriented
• Organized
• Pro-active
• Problem solver

Salary range:
$52,000 – $95,000

Recommended courses:
Officers’, Partners’ and Directors’ Course (OPD)
Ethics and Professional Conduct Course (EPC)
Canadian Investment Funds Course (CIFC)
Exempt Market Proficiency Course (EMP)
Exchange-Traded Funds Course