Experienced Compliance Officer Overseeing Trade Approvals and Regulation

Enhance compliance standards as a Compliance Officer responsible for trade approvals and regulatory adherence. This role emphasizes client support and the management of compliance activities. As part of the compliance team, you will report to the Senior Manager while directing trade approvals and managing compliance projects.

Your responsibilities include monitoring monthly account reviews and addressing adherence to social media policies. You proactively engage with sales staff to ensure corrective actions are implemented effectively. Key Responsibilities: • Review and approve restricted trade activities • Act as contact for New Accounts and deficiencies • Conduct oversight of social media compliance • Manage trade correction inquiries and escalations • Support various compliance initiatives Requirements: • Background in compliance or operational roles • Completion of Canadian Securities and related coursework • Skilled in MS Office applications • Strong communication and customer service skills • Proven ability to multitask effectively Drive compliance excellence to ensure robust regulatory practices while supporting diverse client requests and engagements. #J-18808-Ljbffr