Compliance Supervisor


Are you fluent with regulatory compliance within the financial services industry? This independent investment firm is looking for a confident, service oriented professional who wants a new challenge.

As Compliance Supervisor, you will supervise the trading activities of the company to ensure compliance with the Investment Industry Regulatory Organization of Canada (IIROC) Rules, applicable security laws, and firm procedures. The ideal candidate for this role has completed the proficiency requirements for a Supervisor as stated in IIROC Rule 2900. If you pride yourself on excellent attention to detail and accuracy, we want to hear from you.

* Supervise and ensure compliance with IIROC Rules
* Implement and develop firm policies and procedures and maintain knowledge of applicable laws
* Train and mentor new departmental employees as the team grows 
* Continuously suggest process improvements to improve the company’s system of compliance and supervision

* Post-secondary education in Business Administration, Finance or related field
* 3+ years of relevant experience
* Successful completion of the proficiency requirements for a Supervisor as stated in IIROC Rule 2900, including The Canadian Securities Course, The Conduct and Practices Handbook Course, The Branch Managers Course, and The Effective Management Seminar
* Strong organizational skills and attention to detail
* Excellent communication and interpersonal skills
* Ability to effectively prioritize and handle multiple tasks and stress in a fast-paced environment

* Well-respected, independent firm

Please send a resume (quoting job number 12460) to ANAND SAHAY, Senior Recruitment Consultant, at or call 204.926.3512

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