Compliance Officer - Winnipeg, Canada - Doheny Securities Limited

Doheny Securities Limited

Verified Company

Winnipeg, Canada

2 weeks ago

Posted by:

Sophia Lee

beBee Recruiter

Full Job Description

REQUIREMENTS:

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
Must have experience in the mutual fund/financial services industry
Must have completed the Investment funds in Canada course
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

RESPONSIBILITIES:

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