Enhance compliance within the financial sector as a Compliance Specialist. Focus on mutual fund supervision, advisor support, and effective risk management strategies.

We are seeking a skilled Compliance Specialist (Tier 1) to provide oversight for mutual funds at Tru Cooperative Bank. This key role encompasses daily interactions with advisors, compliance training, and ensuring adherence to both internal policies and external regulations. Your proactive approach will foster a well-informed compliance environment benefiting both advisors and the organization.

Key Responsibilities:
• Perform daily compliance reviews for advisor trading activity
• Approve necessary account documents promptly
• Address compliance queries from registered representatives




• Maintain logs of compliance issues and resolutions
• Participate in compliance-related projects for operational efficiency

Requirements:
• 3-5 years in the financial services field
• Required diploma in a relevant discipline
• Eligibility for CIRO registration as Branch Manager
• Solid knowledge of industry regulations
• Demonstrated ability to manage multiple priorities effectively

Help elevate compliance standards and support advisor success in your role as a Compliance Specialist at Tru Cooperative Bank.
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📌 Compliance Specialist in Financial Services (British Columbia)
🏢 Tru Cooperative Bank
📍 British Columbia