Compliance Associate (Supervision and Sales Conduct)

Join our team as a Compliance Associate, where you'll play a crucial role in upholding the integrity of client relationships and ensuring compliance with Canadian securities laws. You'll be responsible for the day-to-day supervision and conduct review of our Portfolio Managers, Associate Portfolio Managers, financial planners, and broader sales teams. This role requires a strong understanding of suitability, Know Your Client (KYC), Know Your Product (KYP) obligations, and financial planning standards. You'll also have the opportunity to streamline conduct review workflows and leverage technology to scale supervision across the business.

• Assurer la supervision quotidienne et l'examen de la conduite des gestionnaires de portefeuille, des planificateurs financiers et des équipes de vente.
• Effectuer des examens de conformité des plans financiers préparés par les conseillers et les planificateurs, en veillant à leur conformité réglementaire.
• Exécuter le programme d'examen de la conduite des ventes de l'entreprise, y compris les examens programmés et déclenchés par le risque des dossiers clients.
• Sales Conduct Experience: 3–5 years of experience in a compliance, supervision, or conduct oversight role within a CIRO-regulated investment dealer or portfolio management firm, with direct exposure to PM/APM supervision
• Financial Planning Fluency: Familiarity with financial planning concepts (retirement income, tax-efficient investing, estate planning, insurance) and an understanding of how planning outputs connect to regulatory suitability obligations. CFP, PFP, or equivalent designation is a strong asset
• Regulatory Knowledge: Solid working knowledge of NI 31-103, CIRO IDPC Rules, and Canada's Client-Focused Reforms — particularly the KYC, KYP, suitability, and conflicts of interest obligations that apply to Approved Persons and their supervisors
• Supervisory Credentials: Completion of the CIRO Canadian Investment Regulatory Exam and Supervisor Examination OR previous completion of the Canadian Securities Course, Conduct and Practices Handbook (CPH) and Investment Dealers Supervisors Course (IDSC) and eligibility for registration as a Supervisor. Completion of, or interest in completing, the Chartered Investment Manager Designation (CIM®)
• Maker Mentality: You're comfortable using technology and AI tools to automate repetitive tasks — whether that's flagging suitability exceptions, tracking KYC refresh cycles, or generating supervision reports. You'd rather build a scalable process once than manually repeat the same task
• Grit and Grace: Conduct work can be sensitive. You're comfortable raising difficult findings, holding firm on regulatory standards, and navigating pushback from business stakeholders — all while maintaining strong working relationships
• Sharp Analytical Eye: You can review a client file, a trade blotter, or a financial plan and quickly identify what's missing, what's inconsistent, and what needs to be escalated. You don't just check boxes — you understand why the boxes exist