Job Description
Position: Senior Compliance Officer
Location: Ottawa or Montreal (Hybrid – on-site once a month)
About the Role
Our client is looking for a Senior Compliance Officer to join their collaborative team and help them maintain the highest standards of regulatory compliance. Reporting directly to the Chief Compliance Officer (CCO), you’ll play a key role in overseeing daily compliance operations, monitoring regulatory changes, and supporting audits — all while helping shape the evolution of our compliance program.
This is a great opportunity for an experienced compliance professional who thrives in a dynamic environment and wants to make a real impact across the firm.
What You’ll Do
- Approve client risk ratings (EDD), new account openings, and KYC updates
- Review and approve post-trade and bookkeeping reports
- Correct trade errors and oversee daily compliance processes
- Prepare quarterly due diligence audits and regulatory reports
- Monitor regulatory developments (CSA, CIRO, FINTRAC, IRS) and recommend policy updates
- Support internal and external audits, as well as compliance training initiatives
- Once CIRO-approved, review and approve social media and external communications
What We’re Looking For
- 5+ years of compliance experience in a CIRO-regulated firm
- Portfolio Manager designation (in good standing), or CIM® designation + 2 years of investment management experience, or Supervisor for Managed Accounts category with CIRO
- Completion of the Investment Dealer Supervisor Course (within 4 months of hire)
- Strong knowledge of CIRO, CSA, and FINTRAC requirements
- Proven experience with CIRO/OSC audits
- Advanced Microsoft Office skills (Excel, Word, SharePoint)
- French is an asset
Ideal Candidate Profile
- Highly organized, analytical, and detail-oriented
- Strong communicator with high ethical standards
- Collaborative team player who enjoys variety in their work
- Proactive, adaptable, and thrives in a dynamic, entrepreneurial environment
Why Join?
At our client, you’ll be part of a growing, collaborative firm where your work has a direct impact. You’ll gain exposure to a wide range of compliance functions, have the opportunity to shape processes, and work closely with leadership in a supportive environment.