Join our team as a Compliance Specialist focused on risk management and advisor support. This role emphasizes compliance with mutual fund activities and regulatory standards.

As the Tier 1 Compliance Specialist at Tru Cooperative Bank, you’ll supervise registered advisor activities to uphold compliance standards and mitigate risks. Your work will involve collaboration with advisors, extensive reporting, and ensuring regulatory compliance across the board. This position is vital for maintaining industry integrity and promoting continuous education within the organization.

Key Responsibilities:
• Oversee Tier 1 compliance supervision for mutual fund activities
• Manage advisor inquiries and provide support resources




• Track compliance issues to resolution and accurately document
• Ensure adherence to securities regulatory standards
• Collaborate on strategic compliance projects and initiatives

Requirements:
• Minimum 3-5 years in financial services
• Relevant diploma in finance or regulation
• CIRO MFD Branch Manager eligibility
• Background in compliance management preferred
• Excellent interpersonal and written communication skills

Contribute to a culture of compliance and excellence as a Compliance Specialist at our organization.
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📌 Compliance Specialist with Risk Management Focus (British Columbia)
🏢 Tru Cooperative Bank
📍 British Columbia