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Compliance jobs in Newmarket, ON

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    • Working directly with Investment Advisors to resolve compliance matters.
    • Monitoring branch compliance activities and following up on identified issues.
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Career Resources:

Senior Compliance Officer
Keybase Financial Group Inc
1725 16th Avenue, Richmond Hill, ON L4B 4C6
$65,000–$80,000 a year
Permanent, Full-time
Apply now

Job details

$65,000–$80,000 a year
Permanent, Full-time
1725 16th Avenue, Richmond Hill, ON L4B 4C6

Full job description

Job Overview

We are looking for an experienced Senior Compliance Officer who wants to take the next step in their career.

This is more than a trade-review position. You will be joining an independent investment dealer where you can take ownership of meaningful compliance responsibilities, work closely with senior management and Investment Advisors.

Why Join Us?

  • Grow Your Career
  • Have a Voice
  • Work With People, Not Against Them
  • Maintain Work-Life Balance

What You'll Do

  • Conducting trade reviews and assessing suitability, KYC and client-risk concerns.
  • Monitoring branch compliance activities and following up on identified issues.
  • Working directly with Investment Advisors to resolve compliance matters.

What We're Looking For

  • Minimum 3 years of securities compliance experience, preferably within an investment dealer or similar regulated financial services environment.
  • Strong knowledge of Canadian securities regulations, CIRO requirements and investment dealer compliance.
  • Previous securities registration or Investment Advisor experience is considered a strong asset.

Build the Next Stage of Your Compliance Career

This position is well suited to someone who has already developed a strong foundation in investment compliance and is ready for more responsibility, greater involvement and an opportunity to contribute beyond routine compliance reviews.

If you're looking for a role where your experience, ideas and judgment will be valued, we'd like to hear from you.

Pay: $65,000.00-$80,000.00 per year

Work Location: In person

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