We are seeking an individual for the position of Compliance Supervisor (Corporate Branch Manager) with a CIRO investment dealer member. The successful candidate will be able to work in a fast-paced environment and perform their duties under minimal supervision.
Only candidates who have previously worked for a minimum of two years with a CIRO dealer (or a former IIROC or MFDA dealer) will be considered.
MUST satisfy one of the following:
1. Currently registered as a CIRO Supervisor of RRs or as a Supervisor designated to be responsible for the opening of current accounts and account supervision.
2. Previously registered as a CIRO Supervisor of RRs or as a Supervisor designated to be responsible for the opening of new accounts and account supervision for at least two years within the last three years.
3. Be eligible to apply for registration immediately upon hire based on:
a)
Two years of relevant experience with a CIRO dealer (or a former IIROC or MFDA dealer).
b) Completion of the CIRO 2026 Supervisor Exam or enrollment in CSI's Investment Dealer Supervisor Course (IDSC) prior to December 31, 2025. The IDSC must have been completed within the previous 36 months.
Primary Duties:
- Tier 1 and/or Tier 2 supervision of trading activity
- Suitability review and approval of new accounts
- Branch visits/audits in the assigned region
- Marketing materials review and approval
- OBA, email surveillance, and social media review and supervision
- Other duties as assigned
Skills Required:
- Knowledge of Tier 1 and Tier 2 trade supervision
- Good communication skills to effectively interact with Advisors In your application, please provide the completion dates of all relevant courses.