Compliance Supervisor (Corporate Branch Manager)
- Toronto, ON
- On-site
- Posted Oct 15, 2026
- 1 position
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- Employment type
- Full-time
- Experience level
- Mid-level · 2+ years
- Minimum education
- Professional degree
- Apply by
- Apr 12, 2027
- Posting language
- English
- Working hours
- 40 hours per week
- Seniority
- Mid-Senior level
- Application method
- Direct apply is available
Job summary
Supervise trading activity at Tier 1 and/or Tier 2, review and approve new accounts for suitability, and conduct branch visits and audits in the assigned region. Review and approve marketing materials, oversee outside business activities, and conduct email and social media surveillance.
Job details
We are seeking an individual for the position of Compliance Supervisor (Corporate Branch Manager) with a CIRO investment dealer member. The successful candidate will be able to work in a fast-paced environment and perform their duties under minimal supervision. Only candidates who have previously worked for a minimum of two years with a CIRO dealer (or a former IIROC or MFDA dealer) will be considered. MUST satisfy one of the following: 1. Currently registered as a CIRO Supervisor of RRs or as a Supervisor designated to be responsible for the opening of new accounts and account supervision. 2. Previously registered as a CIRO Supervisor of RRs or as a Supervisor designated to be responsible for the opening of new accounts and account supervision for at least two years within the last three years. 3. Be eligible to apply for registration immediately upon hire based on: a) Two years of relevant experience with a CIRO dealer (or a former IIROC or MFDA dealer). b) Completion of the CIRO 2026 Supervisor Exam or enrollment in CSI's Investment Dealer Supervisor Course (IDSC) prior to December 31, 2025. The IDSC must have been completed within the previous 36 months. Primary Duties: • Tier 1 and/or Tier 2 supervision of trading activity • Suitability review and approval of new accounts • Branch visits/audits in the assigned region • Marketing materials review and approval • OBA, email surveillance, and social media review and supervision • Other duties as assigned Skills Required: • Knowledge of Tier 1 and Tier 2 trade supervision • Good communication skills to effectively interact with Advisors In your application, please provide the completion dates of all relevant courses.
What you’ll do
Supervise trading activity at Tier 1 and/or Tier 2, review and approve new accounts for suitability, and conduct branch visits and audits in the assigned region. Review and approve marketing materials, oversee outside business activities, and conduct email and social media surveillance.
Requirements
Candidates must have at least two years of experience with a CIRO dealer or former IIROC or MFDA dealer and must meet one of the stated supervisor registration or eligibility pathways. The role also requires relevant supervisor-course completion or enrollment as applicable, knowledge of Tier 1 and Tier 2 trade supervision, and effective communication skills; applicants should provide course completion dates.
Listed skills
- Communication · Preferred
Other relevant skills
Identified from the job description. Confirm important requirements above.
- Tier 1 Trade Supervision
- Tier 2 Trade Supervision
- Suitability Review
- New Account Approval
- Branch Audits
- Marketing Materials Review
- Email Surveillance
- Social Media Review
- Communication
- Account Supervision
Job areas
- Finance & Accounting
- Management & Leadership
- Legal