Leede Jones Gable Inc. is seeking a qualified Compliance Assistant to work in our Toronto office. Reporting to the Senior Vice President Compliance, you will be primarily responsible for monitoring retail account activity. You will be tasked with ensuring compliance with the firm’s policies and procedures as well as industry regulations.
Specifically you will:
- Support Toronto compliance with ongoing compliance functions within the branch;
- Respond to requests from branches on various compliance issues;
- Review trading blotters and other compliance exception reports;
- Review outside pro Statements;
- Provide investigative support as required on various compliance projects;
- Manage and coordinate requests for information from various regulatory bodies;
- Maintain centralized recordkeeping;
- Assist with registration and continuing education;
- Producing and performing a preliminary monthly review of PRO statements and fee-based accounts;
- Prepare, distribute, track AML data;
- Produce and perform preliminary reviews of monthly reports; and
- Reviewing trading confirmations and statements for eastern employees with accounts at other brokers as they come and maintaining a list of such.
To qualify for this opportunity, you possess:
- Minimum 3 years compliance experience or related branch/operations experience within the securities industry;
- Successful completion of both the Canadian Securities Course and the Conduct and Practices Handbook programs; willingness to take additional supervisory courses;
- Proficiency with MS Office, and Dataphile;
- Superior oral and written communication skills;
- Well-developed and proven customer service and interpersonal skills;
- Strong multi-tasking skills and the ability to work under pressure;
- Excellent group dynamics and the desire to work in a team environment
This position is available immediately and will remain open until a suitable candidate is found. We thank all candidates for their interest. However, only those selected for an interview will be contacted.
Please email your covering letter, resume and salary expectations to email@example.com.