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Senior Compliance Officer

Purpose:

The Senior Compliance Officer, reporting to the Chief Compliance Officer (CCO), is responsible for carrying out head office compliance activities in accordance with regulatory requirements, particularly those established by the various securities commissions and the Investment Industry Regulatory Organization of Canada (IIROC), and internal policies and procedures.

Key Accountabilities:

  • Perform all head office trade reviews, maintaining a record of inquiries and any follow up required, and escalating any issues to the CCO as necessary
  • Oversee the review of all outside trading accounts for employees and their relatives
  • Respond to internal compliance inquires as they arise
  • Draft Bulletins and communications to registered representatives and employees as required
  • Participate in the development of internal policies and procedures
  • Registration – as the firm’s chief AFR, handle the firm’s registration requirements with IIROC and the securities commissions
  • Act as the primary compliance liaison with Investment Banking and maintain on a timely basis the grey list and restricted list, and review subscription agreements
  • Provide support to the CCO in response to regulatory requests and client complaints
  • Reporting – handle various reporting requirements to IIROC, such as UN reporting and reporting relating to UMIR issues, such as Gatekeeper, RMCS, EFTR reports
  • Oversee the branch/sub-branch audit review process, including if delegated, participation in the conduct of remote office audits, and report to the CCO findings and recommendations
  • As a back up to others, provided various approvals as necessary, such as approvals relating to account opening or marketing materials

Knowledge and Skills:

  • In-depth understanding of the securities industry, including IIROC Rules and other applicable industry regulations, such as AML requirements
  • Knowledge and understanding of financial advisory services, policies, procedures and compliance processes, particularly as they relate to IIROC-regulated dealers
  • Significant industry experience in a senior compliance role, including a minimum of 3 to 5 years in a Compliance function, or other relevant experience
  • Ability to build and maintain strong relationships and effective partnerships with internal and external stakeholders
  • Exceptional communication skills, both verbal and written
  • Capable of simultaneously handling multiple tasks and meeting stringent deadlines
  • Successful completion of the relevant exams offered through the Canadian Securities Institute including:
    • Canadian Securities Course
    • Conduct and Practices Handbook Course
    • Branch Managers Course
    • Options Supervisors Course
    • Options Licensing Course
    • Partners, Director and Senior Officers Course

This is a full-time position with a competitive compensation and benefits package.

If you would like to join our team, please send a resume and covering letter by April 13, 2017 to:
Gravitas Securities Inc. 333 Bay St. Suite 1720 Toronto ON M5H 2R2
E-mail: [email protected]

We require applicants to complete a background verification process prior to commencing employment with the company, including but not limited to a credit and criminal record check. Employment is contingent on the satisfactory completion of a pre-employment background check.