Regional Compliance Officer Jobs

JOB STATEMENT:

The Regional Compliance Officer (“RCO”) will have direct responsibility for reviewing, conducting and executing audits for branches and advisors for both Worldsource Financial Management Inc.(WFM) and Worldsource Securities Inc.(WSI), as well as Complaint handling.

ESSENTIAL FUNCTIONS:

• Conducting special reviews and assignments as required;
• Completing other tasks as assigned by the Senior Director and/or Chief Compliance Officer.
• Delivering Compliance training to branches (Advisors, Branch Staff and Branch Managers);
• Conducting Advisor conduct/complaint investigations as called for by head office or regulatory authorities;
• Conducting in-person and remote Branch Reviews in accordance with the established Branch Review program and in accordance with an established review schedule across Canada, primarily in Central and Eastern Canada;
• Maintaining collaborative relationships with Advisors and Branch Managers/Supervisors in order to promote a culture of compliance within WFM/WSI;

QUALIFICATIONS:

• Successful completion of the CSC, CPH, IDSC or equivalent is required
• Valid driver’s license and personal vehicle is mandatory as regular travel within the designated region (and occasionally outside the region) will be required
• Excellent oral & written communication skills and strong conflict resolution skills
• Strong ability to work independently is mandatory as tasks are not inter-dependent with others
• Minimum of 7 years of directly related experience at an MFDA and/or IIROC dealer is preferred
• Excellent organizational skills are a must due to the deadlines required in this role.
• Dataphile knowledge is preferred
• Strong knowledge of Microsoft Word and Excel is required
• Must be eligible for immediate registration with provincial securities regulators

COMPENSATION:

Commensurate with experience

Worldsource is committed to accessibility in employment and to ensuring equal access to employment opportunities for candidates, including

persons with disabilities. In compliance with AODA, Worldsource will endeavour to provide reasonable accommodation to persons with disabilities in the recruitment process upon request. If you are selected for an interview and you require accommodation due to disability during the recruitment process, please notify the hiring manager upon scheduling your interview.

We thank all applicants for their interest but only those selected for an interview will be contacted.