Senior Compliance Officer

Horizon Recruitment is recruiting for a Senior Compliance Officer to support the ongoing growth and regulatory strength of a leading wealth management organization. This role helps ensure the firm maintains strong oversight, meets regulatory requirements, and fosters a culture of compliance across its advisory network. Working closely with the Director of Compliance Supervision, the successful candidate will help guide supervision activities, support advisors and staff, and contribute to the firm’s broader compliance framework.

Responsibilities

• Supervise newly registered staff and provide guidance on regulatory requirements and firm policies
• Conduct Tier 1 supervision for both managed and non-managed accounts
• Review and approve new account openings and account updates
• Perform daily and monthly trade supervision to ensure regulatory compliance
• Conduct quarterly reviews of managed accounts
• Review and approve outside business activities for registrants
• Conduct close supervision of new registrants during onboarding periods
• Participate in internal branch audits and support external regulatory audits
• Provide guidance to Investment Advisors and Portfolio Managers on compliance matters
• Deliver ongoing compliance training and education to branch personnel
• Review and approve marketing materials to ensure regulatory compliance
• Contribute to special compliance projects and program development initiatives

Requirements

• 5+ years of experience in a compliance role within the financial services industry
• Minimum 3 years of experience as a Tier 1 Supervisor with a CIRO Dealer Member
• Post-secondary education
• Eligible for immediate registration as a designated supervisor of managed accounts with CIRO
• Ability to maintain continuing education requirements for IIROC/CIRO registrants
• Strong knowledge of Canadian financial services regulations, including CIRO and CSA requirements
• Excellent communication skills with the ability to work effectively with advisors, staff, and senior leadership
• Strong analytical and problem-solving abilities
• Organized and able to manage multiple priorities while meeting deadlines
• Proficiency with Microsoft Office applications

Remuneration

$80,000 - $110,000 base salary plus benefits.

Only candidates eligible to work in Canada will be considered

Horizon Recruitment Inc. is a specialized recruitment and search firm with two complimentary practice areas: Finance & Supply Chain.