- Professional
- Optionales Büro in Mississauga
Opportunity Overview
The Compliance Specialist role is an integral part of the Business Enablement team which provides essential support for the compliance department's various areas. This includes, but is not limited to: maintaining and updating compliance policies, the preparation and coordination of training materials and presentations, the gathering and filtering of data including regulatory drops and reporting to support the Compliance Oversight and Supervision functions. Suitable for an individual with strong organizational skills, reporting and excel skills and attention to detail, this role helps ensure the seamless execution of compliance escalations, communications, and data-driven insights for the Compliance division.
Key Responsibilities:
Key Responsibilities:
- Policy, regulatory resourcing and RIM support: this role supports as needed the updating, formatting and organization of Compliance policies, regulatory resource organization and Subject Matter Expert resourcing coordination for Canada Compliance and Business Unit priorities.
- Compliance Service duties: Integral to overall division support this may include: #13 service call support, social media initial review and escalations, mail (statements and return mail) handling, regulatory desktop and GP CARS review support, audit preparation support and other duties as needed.
- Data Organization: (Compliance and Risk) as needed in gathering, organizing and preparing data from various sources to support Compliance risk assessments, reporting, and analysis.
- Backup and coordinator for the Compliance division: Track deadlines, manage documentation and facilitate communication between Compliance Officers and other stakeholders to ensure the timely completion of initiatives. Learn key functions in each area and be able to perform as backup and support for a wide range of support duties while being fully cross trained across all areas of support and functional duties as required.
- Assist in tracking and reviewing disclosures related to personal trading, outside business activities, and other potential conflicts
- Provide administrative and analytical support for enhanced supervision cases
- Facilitate the review of marketing materials by gathering necessary information and documentation
- Help coordinate feedback and approvals from relevant compliance and legal teams
- Prepare regular reports on compliance activities, trends, and issues for management review.
- Investigate flagged communications including e-mail and social media and escalate concerns to senior compliance associates as appropriate.
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
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
.Knowledge Requirements:
Skills Requirements:- Minimum of an Associates Degree or Equivalent
- Minimum of 2 years experience working in a similar role
- Requires a CSC and CPH
- Strong awareness of our industry and a well-rounded understanding of compliance as it relates to a CIRO registered Investment Dealer.
- Project Planning
- Attention to Detail
- Fluent in French and English (preferred)
- Excellent written and verbal communication skills
- Facilitation/presentation skills
- Administrative Support
This role has job duties that require in office work. Candidate must be a hybrid associate.
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.
