SteppingStones is working on behalf of our client to assist them in sourcing a Compliance Officer to join their growing team.
The successful candidate will provide compliance support for our client’s team of financial advisers and wealth managers. The role will include assisting with general compliance tasks including client due diligence and file checks as well as completing compliance monitoring reports and assisting with the Compliance Monitoring Program. The role may also include some administrative support tasks as needed.
We are looking for a candidate that has previous compliance experience and experience and knowledge of CIMA procedures and regulations. The candidate will need to be well organised and have excellent verbal and written communication skills. An AML certification would be considered an asset as would any experience in financial services.