Location - Mississauga, Ont., St. Louis, Mo., Tempe, Ariz.
What we do
Compliance division associates work directly with branch teams to support the firm's compliance functions, as well as assist in the coordination of firm activities with regulatory authorities. Partnership and coordination promotes clients' best interests and gives branch teams the tools and resources they need to deepen client relationships. We strive to set the industry standard for compliance and supervisory best practices.
Where we are headed
The Compliance division continuously evaluates, recommends and revises system, structure and process change necessary to prepare for the firm's future plans and to help ensure our client communications are transparent, accessible and easy to understand. The area also will play an integral role in ensuring compliance with new industry regulations and as the firm adopts new products and continues our evolution to solutions-based advice.
What we need
Branch Auditor, Compliance Officer, Field Supervision Director and Senior Registration Specialist are some of the most common positions.
- Post-secondary education
- Industry courses ( e.g., Canadian Securities Course, Conduct and Practices Handbook)
- Ability to multi-task
- Attention to detail