Job Overview

We are looking for an experienced Senior Compliance Officer who wants to take the next step in their career.

This is more than a trade-review position. You will be joining an independent investment dealer where you can take ownership of meaningful compliance responsibilities, work closely with senior management and Investment Advisors.

Why Join Us?

- Grow Your Career
- Have a Voice
- Work With People, Not Against Them
- Maintain Work-Life Balance

What You'll Do

- Conducting trade reviews and assessing suitability, KYC and client-risk concerns.
- Monitoring branch compliance activities and following up on identified issues.
- Working directly with Investment Advisors to resolve compliance matters.

What We're Looking For

- Minimum 3 years of securities compliance experience, preferably within an investment dealer or similar regulated financial services environment.




- Strong knowledge of Canadian securities regulations, CIRO requirements and investment dealer compliance.
- Previous securities registration or Investment Advisor experience is considered a strong asset.

Build the Next Stage of Your Compliance Career This position is well suited to someone who has already developed a robust foundation in investment compliance and is ready for more responsibility, greater involvement and an opportunity to contribute beyond routine compliance reviews.

If you're looking for a role where your experience, ideas and judgment will be valued, we'd like to hear from you.

Pay: $65,000.00-$80,000.00 per year

Work Location: In person

📌 Senior Compliance Officer (Richmond Hill)
🏢 Keybase Financial Group Inc/Argosy Securities
📍 Richmond Hill