Job Description

The Role

A well-established investment firm is seeking a Compliance Officer to join its team. Reporting to senior compliance leadership, this role requires a professional with strong attention to detail, exceptional client service skills, and the ability to take initiative when facing new responsibilities and challenges.

The firm values independence, entrepreneurial thinking, and long-term relationships with clients and investors across sectors such as energy, mining, technology, and special situations.

Responsibilities

  • Review and approve new and updated client accounts, including individual, entity, and institutional accounts.

  • Conduct daily and monthly supervision of accounts and trades to ensure compliance with applicable regulatory requirements.

  • Perform ad hoc and time-sensitive assessments or investigations into trade and account-related concerns as directed by senior compliance management.

  • ...

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