Advance your compliance career with Highgate Group in hybrid remote role. We seek a Compliance Manager with strong analytical skills and a commitment to ethical standards.
Highgate Group is looking for a Compliance Manager with a focus on supervising retail and managed accounts. Ideal candidates are detail-oriented, with significant experience in trade reviews and communication. You will enhance branch audits, support regulatory preparation, and ensure adherence to industry guidelines.
Key Responsibilities:
• Supervise retail and managed accounts effectively
• Conduct daily and monthly trade reviews
• Oversee quarterly reviews of accounts
• Review account inquiries and track resolutions
• Ensure compliance with transaction guidelines
Requirements:
• Post-secondary degree in Finance or Business
• 3-5 years experience in a CIRO firm
• Canadian Securities Course and CPH certification
• Strong MS Office skills
• Excellent English communication skills<...