Compliance Officer in Canada

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Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it’s like being part of a firm where everyone is aligned toward a singular focus: serving the client. And everyone is working to make the firm better together – as they grow as individuals. If these words resonate with you, we should talk.

Job Overview

Position Schedule: Full-Time

We are seeking a Compliance Officer responsible for ensuring compliance with rules and regulations relating to securities registration and insurance licensing of the various regulatory bodies including CIRO, provincial Securities Commissions and Insurance Councils.

The Compliance Officer is responsible for obtaining and maintaining securities registration and insurance licensing for the firm, executives, supervisors, financial advisors and branches.

Responsibilities include:

• Manage and administer all aspects of securities registration and insurance licensing

• Conduct thorough & detailed review of submissions by individuals applying for securities registration and insurance licensing ensuring completeness and accuracy

• Consult various resources for information, conduct relevant research and provide resolutions for any outstanding registration issues and deficiencies

• Respond to inquiries from regulatory authorities

• Provide guidance and expertise to multiple internal areas, trainees and registrants on registration related matters

• Determine, record and communicate post-licensing proficiency requirements and continuing education for all registrants

• Coordinate multi-jurisdiction registration processes

• Maintain network of licensed branch locations across multiple internal & external systems(NRD)- branch openings & closings, financial advisor relocations

• Ensure material changes and amendments to registrations permanent record, Notice of Termination, branch and residential address changes, category changes and proficiency updates are filed in accordance with regulatory timelines

• Maintain accurate data on multiple internal and external systems ensuring data integrity

• Develop recommendations and solutions to improve procedures and policies that contribute to the effectiveness of the department in meeting its objectives

Skills/Requirements

• Post-secondary education or equivalent work experience required

• Canadian Securities Course (CSC) or completed within 12 months

• Minimum 3 years’ experience in the financial services industry, or experience interpreting and applying rules and regulations

• Strong working knowledge of relevant securities registration & insurance licensing rules and an overall understanding of the industry

• Proficient on National Registration Database (NRD) an asset

• Strong analytical, organizational and problem solving skills.

• Extremely detail oriented

• Ability to work both independently with a minimal amount of supervision as well as in a team environment

• Able to deal with sensitive and confidential matters with discretion

• Good verbal and written communication skills

Awards & Accolades

At Edward Jones, we are building a place where everyone feels like they belong. We’re proud of our associates’ contributions to the firm and the recognitions we have received.

Check out our U.S. awards and accolades: Insights & Information Blog Postings about Edward Jones

Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones

About Us

Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 8 million clients and 19,000 financial advisors across the U.S. and Canada, we’re proud to be privately-owned, placing the focus on our clients rather than shareholder returns.

Behind everything we do is our purpose: We partner for positive impact to improve the lives of our clients and colleagues, and together, better our communities and society. We are an innovative, flexible, and inclusive organization that attracts, develops, and inspires performance excellence and a sense of belonging.

People are at the center of our partnership. Edward Jones associates are seen, heard, respected, and supported. This is what we believe makes us the best place to start or build your career.

View our Purpose, Inclusion and Citizenship Report.

1Fortune 500, published June 2023, data as of December 2022. Compensation provided for using, not obtaining, the rating.

Edward Jones does not discriminate on the basis of race, color, gender, religion, national origin, age, disability, sexual orientation, pregnancy, veteran status, genetic information or any other basis prohibited by applicable law.

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