Compliance Officer, Complaints and Regulatory Investigations
Core
Manage complaints, internal concerns, and regulatory investigations to ensure fair, transparent, and factual handling in accordance with policy and guidelines.
Role type
Compliance Officer (Complaints and Regulatory Investigations)
Builds
Regulatory filings and internal investigation reports for CIRO and AMF
Domain
Canadian Securities Regulation and Financial Services Compliance
Deliverable
client delivery
Required skills
Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH), knowledge of National Instruments and SRO Rules, experience managing complaints and investigations, advanced MS Office proficiency
Preferred skills
Experience across different registration categories, progress toward industry designations
Responsibilities
Assess Reportable Matters for CRI Team involvement, report complaints to CIRO/AMF within timelines, prepare internal investigation reports with liability assessments, draft substantive response letters, liaise with legal and executive management, ensure file compliance with regulatory requirements
Seniority
Mid-level, hands-on IC