Compliance Supervisor

 


COMPLIANCE SUPERVISOR (Winnipeg, Manitoba)
Are you fluent with regulatory compliance within the financial services industry? This independent investment firm is looking for a confident, service oriented professional who wants a new challenge.

As Compliance Supervisor, you will supervise the trading activities of the company to ensure compliance with the Investment Industry Regulatory Organization of Canada (IIROC) Rules, applicable security laws, and firm procedures. The ideal candidate for this role has completed the proficiency requirements for a Supervisor as stated in IIROC Rule 2900. If you pride yourself on excellent attention to detail and accuracy, we want to hear from you.

WHAT YOU WILL DO
* Supervise and ensure compliance with IIROC Rules
* Implement and develop firm policies and procedures and maintain knowledge of applicable laws
* Train and mentor new departmental employees as the team grows 
* Continuously suggest process improvements to improve the company’s system of compliance and supervision

MUST HAVES
* Post-secondary education in Business Administration, Finance or related field
* 3+ years of relevant experience
* Successful completion of the proficiency requirements for a Supervisor as stated in IIROC Rule 2900, including The Canadian Securities Course, The Conduct and Practices Handbook Course, The Branch Managers Course, and The Effective Management Seminar
* Strong organizational skills and attention to detail
* Excellent communication and interpersonal skills
* Ability to effectively prioritize and handle multiple tasks and stress in a fast-paced environment

WHY WORK WITH THIS COMPANY?
* Well-respected, independent firm

APPLY NOW
Please send a resume (quoting job number 12460) to ANAND SAHAY, Senior Recruitment Consultant, at [email protected] or call 204.926.3512

ABOUT PINNACLE
Does your current job harness your full potential? As a leading recruitment firm in Manitoba, with 25 industry specialized recruiters, Pinnacle can help. Think of Pinnacle as a personal shopper for your career: First, we get to know you - your skills, experience, career goals, and desired work culture. Next, we pick the best career opportunities from an exclusive list, many of which you will never see advertised. Finally, once you (and our clients) have found a perfect fit, Pinnacle helps you with all of the details to ensure a smooth transition. Best of all, we offer this service at no cost to you. When you're prepared to take the next step in your career, Pinnacle will be ready.

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