Caldwell Securities Ltd. is seeking a Compliance Supervisor to enhance our compliance efforts. This role focuses on compliance monitoring and regulatory support to mitigate risks for our investment operations.
As a key member of Caldwell’s Compliance team, you will report to the Chief Compliance Officer. The position demands strong expertise in compliance practices and involves overseeing compliance by staff, conducting assessments, and leading regulatory examinations. Your contributions will ensure adherence to policies and enhance our compliance program's effectiveness.
Key Responsibilities:
• Monitor and assess compliance of Caldwell staff and clients
• Lead CIRO and regulatory examinations efficiently
• Provide advisory support for complex regulatory inquiries
• Investigate cases and support senior compliance staff
• Assist with the supervision of client and account activity
Requirements:
• University Degree in business or finance
• 3 to 5+ years in in...