Elevate your career with Canaccord Genuity as a Senior Compliance Supervisor, focused on regulatory compliance and client management in a leading financial service firm. This role offers the prospect to ensure accuracy and adherence to compliance protocols.
In this senior position, your expertise will play a crucial role in overseeing compliance activities, conducting account reviews, and coordinating with various teams for effective compliance management. You will address complex compliance issues and guide advisors to follow best practices. Training and developing compliance strategies throughout the region will also be key responsibilities in this role.
Key Responsibilities:
• Serve as first contact for escalation of compliance concerns
• Conduct regular compliance and suitability reviews




• Approve documentation and requests for various accounts
• Liaise with operations and compliance teams on issues
• Communicate compliance requirements effectively within the region
Requirements:
• CIRO Supervisor license required; Options license preferred
• Completed Canadian Securities Course and CPH
• Strong background in the brokerage industry
• Detail-oriented with excellent time management skills
• Familiarity with compliance systems like Dataphile
Lead Canaccord Genuity’s compliance efforts with your industry knowledge and commitment to operational excellence.
#J-18808-Ljbffr

📌 Senior Compliance Supervisor at Canaccord Genuity (Toronto)
🏢 CGC Canaccord Genuity
📍 Toronto