Officier de conformité - Audit de Succursale
Core
Conduct independent audits of registered branches and sub-branches across Quebec to ensure compliance with broker policies, procedures, and regulatory requirements, specifically OCRI Rule 500.
Role type
Branch Compliance Officer (Audit)
Builds
Compliance reports and remediation recommendations for branch operations
Domain
Financial Services / Mutual Funds / Regulatory Compliance
Deliverable
client delivery
Required skills
Knowledge of OCRI rules (Rule 200, Rule 500), Mutual fund industry regulations, Independent audit execution, Interviewing and training representatives, Complex case analysis, Time management
Preferred skills
Canadian investment funds or securities courses, Experience with Univeris, Valid driver's license, Advanced English proficiency
Technologies
Univeris
Responsibilities
Verify compliance with broker policies and regulatory requirements; Apply OCRI Rule 500; Conduct assigned location reviews including interviews; Ensure adequate training for representatives; Prepare and issue audit reports; Maintain post-review communication to resolve issues; Provide analysis and recommendations for complex compliance cases
Seniority
Mid-level, hands-on IC