Harbourfront Wealth Management
Senior Compliance Supervisor in Financial Services
Job Description
Advance your career in compliance with Harbourfront Wealth as a Senior Compliance Officer. This hybrid position allows for collaboration and oversight within a top financial services firm located in Vancouver, BC.
In the role of Senior Compliance Officer, you will report to the Director of Compliance Supervision & Program Development, leading compliance initiatives and supporting regulatory adherence. The ideal candidate will have at least five years of experience in compliance, including three years as a Tier 1 Supervisor. You will focus on training staff, managing accounts, and ensuring a high standard of compliance education across the organization.
Key Responsibilities:
• Train staff on regulatory compliance protocols
• Conduct daily trading oversight and monthly reviews
• Approve and update customer accounts
• Support branch personnel with compliance inquiries
• Manage internal and external audits
Requirements:
• 5+ years in a compliance role
• Proven...
In the role of Senior Compliance Officer, you will report to the Director of Compliance Supervision & Program Development, leading compliance initiatives and supporting regulatory adherence. The ideal candidate will have at least five years of experience in compliance, including three years as a Tier 1 Supervisor. You will focus on training staff, managing accounts, and ensuring a high standard of compliance education across the organization.
Key Responsibilities:
• Train staff on regulatory compliance protocols
• Conduct daily trading oversight and monthly reviews
• Approve and update customer accounts
• Support branch personnel with compliance inquiries
• Manage internal and external audits
Requirements:
• 5+ years in a compliance role
• Proven...