Caldwell Securities Ltd. ("Caldwell") is a majority employee-owned investment dealer that has been providing sophisticated and experienced investment and wealth management advice to individuals and corporations since 1981. Caldwell’s primary business includes investment management services, mutual fund sales, and retail and institutional sales. Caldwell is a member of the Canadian Investment Regulatory Organization ("CIRO") and runs its own self-clearing operations.About the Job:We are searching for a Compliance Supervisor to join our Compliance team. The individual will report into the Chief Compliance Officer and provide support to the business, including retail and institutional sales staff and the trade desk, with a view to mitigating civil, regulatory and reputational risk for Caldwell Securities. Additionally, you will assist with special initiatives and projects as needed to respond to internal requests and regulatory changes and focus areas.What does the job do? Compliance Supervisor responsibilities:Perform day-to-day supervisory compliance monitoring and testing associated with Caldwell’s compliance program,



including business conduct and trading conduct compliance surveillanceMonitor and assess compliance by Caldwell staff and clientsTake lead on CIRO and other regulatory examinationsProvide advisory support by responding to routine and complex regulatory inquiries and escalations.Assist with the complaint review, resolution and escalation process, ensuring compliance with CIRO and other applicable industry rules.Provide support for regulatory initiatives, participate in internal working groups, and ad hoc projects as required.Fulfill reporting obligations to various regulatorsSupport various regulatory reporting processes and assists other compliance programs, as requiredAdhere to applicable regulations as well as all aspects of Caldwell’s policies and proceduresInvestigate cases and perform initial case analysis to support senior compliance staffProvide support and guidance to other departments on compliance mattersAssist with the supervision of client and

📌 Compliance Supervisor (Toronto)
🏢 Caldwell Securities
📍 Toronto