Spécialiste, Conformité

Job summary

The specialist acts as a trusted partner to advisors, ensuring their activities and transactions comply with regulatory requirements and internal policies. They are responsible for risk-based surveillance, evaluating investment suitability, and providing coaching to promote a proactive compliance culture.

Job details

The specialist acts as a trusted partner to advisors, ensuring their activities and transactions comply with regulatory requirements and internal policies. They are responsible for risk-based surveillance, evaluating investment suitability, and providing coaching to promote a proactive compliance culture. Requires a bachelor's degree in finance or a related field and at least five years of experience in securities compliance, specifically with discretionary management. Candidates must hold or be eligible for CIRO supervisor and retail client exams.

What you’ll do

The specialist acts as a trusted partner to advisors, ensuring their activities and transactions comply with regulatory requirements and internal policies. They are responsible for risk-based surveillance, evaluating investment suitability, and providing coaching to promote a proactive compliance culture.

Requirements

Requires a bachelor's degree in finance or a related field and at least five years of experience in securities compliance, specifically with discretionary management. Candidates must hold or be eligible for CIRO supervisor and retail client exams.

Benefits

• Hybrid work model • 3 weeks of vacation • 5 sick days per year • 1 personal day • 2 days off at Christmas • Comprehensive group insurance (health, dental, health management account, employee assistance program, telemedicine) 50% employer paid • RRSP program with employer contribution • 20% coverage of OPUS card • Social committee events • Professional development and internal evolution • Modern offices in downtown Montreal

Listed skills

• interpersonal skills · Preferred
• Microsoft Office · Preferred

Other relevant skills

Identified from the job description. Confirm important requirements above.

• Compliance Supervision
• Risk-Based Surveillance
• KYC (Know Your Client)
• Discretionary Management
• Regulatory Analysis
• Interpersonal Skills
• Analytical Thinking
• Professional Judgment
• Bilingualism (French and English)
• Microsoft Office
• Univeris
• Winfund
• RBroker

Job areas

• Finance & Accounting
• Legal
• Consulting

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