Compliance Officer

My client, a boutique Wealth Management firm, is looking for a Compliance Officer to join their team. This role is responsible for the compliance support and implementation of risk and compliance policies and procedures for the company.

Responsibilities:

1. Compliance reporting on behalf of business unit; internal and external (statutory) requirements
2. Review of planned legislative changes, and make recommendations
3. Monitoring of existing legislative changes
4. Assist with documentation of processes and procedures, and planned training
5. Review of system, and recommendations of system changes required
6. FSP license changes as needed
7. Compliance monitoring; review of client advisory and investment implementation records (FAIS and FICA)
8. Review and approval of client onboarding
9. Technical queries; assist advisory, fiduciary and consulting operations with technical ...