Elevate compliance standards within Thrive Wealth Management as a Wealth Compliance Officer for up to 15 months. You will collaborate with a skilled team to ensure regulatory adherence and foster growth.
This temporary role focuses on compliance supervision for mutual fund registered advisors. You will enhance their knowledge and processes while mitigating risks associated with sales and service activities. Your detail-oriented mindset will be essential in building robust relationships and driving improvements in compliance practices across the organization.
Key Responsibilities:
• Provide technical support to mutual fund advisors
• Review approvals for accounts, trades, and KYC updates
• Ensure compliance in sales and service activities
• Identify areas for efficiency aligned with policies
• Drive consistency in process changes across the organization
Requirements:
• 2+ years in wealth or financial industry
• Mutual Fund registration (CSC or IFIC)
• Ability to obtain Branch Compliance Manager/Officer Course
• Strong understanding of compliance requirements
• Commitment to continuous learning and improvement
Bring your compliance expertise and people-focused approach to Thrive Wealth Management and make a meaningful impact.
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