Join Caldwell Securities Ltd. as a Compliance Supervisor and support our commitment to compliance excellence. This role involves overseeing compliance monitoring and providing advisory support for regulatory initiatives.As a Compliance Supervisor, you will report to the Chief Compliance Officer and collaborate with various teams to ensure regulatory adherence. You will lead efforts in compliance assessments, manage regulatory examinations, and guide staff in meeting compliance standards. This role calls for a strategic mindset and excellent communication skills.Key Responsibilities:
Execute supervisory compliance monitoring and testing
Guide staff on compliance with industry regulations
Lead CIRO examinations and regulatory reporting




Support complaint resolution and escalation processes
Assist with various compliance programs and initiativesRequirements:
University degree in a related field
3 to 5+ years in full-service investment dealers
Proficient in Microsoft Office and compliance tools
Excellent analytical and investigative capabilities
Solid organizational and interpersonal skillsApply your skills to bolster Caldwell's compliance framework and enhance our team’s operational integrity.#J-18808-Ljbffr

📌 Compliance Supervisor Career At Caldwell Toronto
🏢 Caldwell Securities
📍 Toronto