What is the Compliance Officer – Investment Dealer’s role?

The Compliance Officer’s job deals with any day-to-day compliance issues that arise during financial transactions, trading, or the handling of client accounts. This officer must ensure the firm and its employees understand and abide by internal and regulatory procedures. Compliance Officers are employed throughout the financial services industry in banks, mutual fund companies, and investment dealers. Specific duties depend on the industry sector, but this job universally rewards those with an eye for detail, a thorough understanding of industry conduct and practices, and a knack for explaining policies and procedures to other employees.

What are the responsibilities of this role?

  • Investigating and developing internal control systems
  • Conducting internal audits
  • Preparing periodic financial reports required by regulatory bodies
  • Performing real-time surveillance with a view to preventing misconduct, promoting ethical standards, and monitoring and advising on a large number of rules, within the overall objective of reducing risk to the firm

What is the earning potential for this role?

Avg Salaries from Canadian job sites

What are the required & recommended credentials and courses?

Below are the courses and credentials required and/or recommended for this career.

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