Accelerate your career in compliance with Roots Funding as a Junior Compliance Officer. Join our dynamic compliance team and work with securities regulations, AML/KYC, and private market activities.Roots Funding Inc., recognized as an Exempt Market Dealer, seeks a detail-oriented Junior Compliance Officer. In this hands-on role, you will support the Chief Compliance Officer while gaining exposure to compliance strategies across several jurisdictions. This role is tailored for early-career professionals interested in rapidly enhancing their compliance knowledge in a multi-jurisdictional context.Key Responsibilities:Conduct KYC, KYP, and suitability reviews for investorsSupport operations of the AML/ATF programReview offering documents and investor files for compliancePrepare and track regulatory filings across jurisdictionsAssist with conflicts of interest managementRequirements:Completion of the Canadian Securities Course (CSC)0 to 2 years of compliance or onboarding experienceStrong attention to detail and documentation skillsProficiency with Microsoft 365Degree in finance, business, or related fieldLeverage your compliance expertise to support Roots Funding's cutting-edge approaches in the financial sector.

📌 Junior Compliance Officer At Roots Funding (Toronto)
🏢 Roots Funding
📍 Toronto