Branch Manager/compliance Officer - Winnipeg, Canada - Doheny Securities Limited

Doheny Securities Limited

Verified Company

Winnipeg, Canada

2 weeks ago

Posted by:

Sophia Lee

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Description

Seeking a full time Compliance Officer to join our team at a fast paced independent Mutual Fund Dealership. Salary will be determined based on experience, plus bonus.

Core Competencies:

Refined attention to detail
Strong communication skills, both written and verbal
Excellent time management skills
Strong analytical, critical thinking and problem solving skills
The ability to organize and followup on multiple tasks and details with accuracy and timeliness

Scope of Responsibility:

Exhibit your thorough understanding of, and ensure adherence to, Canadian regulatory framework including an understanding of MFDA, CSA and MSC regulatory requirements.
Ensure policies and procedures of the firm are being adhered to
Ensure branch reviews and audits are being completed and appropriately reported as required
Conduct daily trade review
Make recommendations to the President to ensure continued compliance with all rules and regulations
Ensure Anti-Money Laundering regulations are followed

Experience Required:

Must have experience in the mutual fund/financial services industry
Must have completed the Canadian Securities Course (CSC)
Must have completed the Branch Managers Course, or willing to obtain within a reasonable time period
A satisfactory background check may be required of the successful applicant prior to commencing employment

Salary:
$70,000.00-$90,000.00 per year

Schedule: