- Senior
- Optionales Büro in Mississauga
Opportunity Overview
The Sr. Compliance Officer (Tier 2) is responsible for conducting Tier 2 reviews and enhanced supervision of registered personnel and other stakeholders to ensure adherence to regulatory requirements, internal policies, and best practices. This role plays a critical role in mitigating risk, enhancing compliance protocols, and supporting the organization’s commitment to maintaining a robust compliance framework.
Key Responsibilities:
Key Responsibilities:
- Conduct in-depth Tier 2 reviews of escalated matters from the first line of supervision to identify compliance risks and ensure alignment with regulatory requirements.
- Analyze and investigate red flags, patterns of behavior, or anomalies in transactions, communications, or activities
- Oversee advisors, branches, and accounts subject to heightened supervision due to regulatory, performance, or risk-related concerns
- Design, implement, and monitor customized supervision plans tailored to specific circumstances.
- Collaborate with internal audit, legal, and other departments to ensure timely resolution of identified issues
- Lead the enhancement of compliance monitoring and testing frameworks, integrating analytics to improve effectiveness.
- Develop and present comprehensive reports summarizing Tier 2 and enhanced supervision activities, trends, and outcomes
Position Type
Home Office - Canada
Position Schedule
Full-Time
EEO Statement
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.
Posting Location
Ontario, Mississauga
Company Description
Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 9 million clients and 20,000 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 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.
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 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.
External Flexible Work Option(s)
Hybrid, Onsite
Awards and 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
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
Position Requirements
- Bachelor's degree preferred, or relevant work experience.
- Required Courses: Canadian Securities Course (CSC), the Conduct and Practice Handbook (CPH), and Investment Dealers Supervisors Course (IDSC)
- Proven experience in compliance, regulatory oversight, or risk management
- Strong knowledge of regulatory frameworks applicable to financial services or related industries.
- Proficiency in data analytics tools such as SQL, Tableau, Power BI, Python, or R.
- Exceptional analytical and problem-solving skills, with the ability to translate data insights into actionable compliance strategies.
- Excellent communication and interpersonal skills for collaboration across diverse teams.
- Project management
- Critical Analysis and problem solving techniques
- Excellent written and verbal communication skills
- Facilitation/presentation skills
Knowledge Requirements:
- Comprehensive understanding of Canadian regulatory requirements, particularly CIRO standards as they apply to wealth management.
- Proven experience in compliance, risk management or regulatory advisory roles with a demonstrated expertise in risk-reward assessment, creative problem solving and business priorities.
- Excellent communication skills with a track record of fostering collaborative relationships across departments.
- Advanced knowledge of the wealth management industry including product development, client service models and industry best practices.
- Proficiency with regulatory technology tools and data analytics and how to leverage them to enhance compliance and decision-making efficiencies.
Current home-based associates: While this role is posted as hybrid, if selected and accepted, you may retain your home-based status. Edward Jones intends in good faith to continue offering the role as home-based, though future business or regulatory needs may require on-site work.
Salary Information
At Edward Jones, we value and respect our associates and their contributions, and we recognize individual efforts through a rewards program that promotes a long-term career, financial security and well-being. Visit our career site to learn more about our total compensation approach, which in addition to base salary, typically includes benefits, bonuses and profit sharing. The salary range for this role is based on national data and actual pay is based on skills, experience, education, and other relevant factors for a potential new associate.
