Compliance Officer

Compliance Officer

About the Role

The Compliance Officer reports to the Chief Compliance Officer (CCO) and will primarily be responsible for helping maintain the integrity of Equiton by ensuring compliance with, including those set forth by the Securities Commissions and other regulatory bodies, as well as internal policies and procedures. This position will serve as a key member in the compliance team with delegated responsibilities of second-line oversight and assisting in policy and procedure development. The Compliance Officer will also provide regulatory guidance and support to internal business partners and requires strong relationship management skills.

Key Responsibilities

• Review investment actions to ensure that all recommendations and transactions are appropriate for the client and meet regulatory requirements.
• Support the implementation and maintenance of the firm’s compliance program, ensuring alignment with relevant leg...