Job Description
📋 Description Conduct ongoing supervision of PMs, APMs, and sales activity. Assess KYC, KYP, and suitability obligations under Canadian securities laws. Review financial plans for regulatory alignment and client objectives. Run the sales conduct review program and remediation efforts. Audit onboarding for KYC completeness and KYP knowledge. Identify conflicts of interest and escalate findings. 🎯 Requirements Sales conduct experience: 3–5 years in CIRO-regulated firms. Regulatory knowledge: NI 31-103, CIRO IDPC, Client-Focused Reforms. Financial planning fluency: retirement, tax, estate planning basics. Supervisory credentials: CIRO/Supervisor exams or CS/CPH/IDSC eligibility. Sharp analytical eye: identify gaps and escalate findings. Maker mentality: leverage AI to automate tasks. 🎁 Benefits Health benefits and life insurance Employer-matched group savings 20 vacation days and 4 wellness days Unlimited sick and mental health days 90 days outside Canada per year
