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Intermediate Compliance Professional/AML At Mackie Research Capital Corporation

Location: Toronto, Ontario

Job Description

Description:

The Intermediate Compliance Professional (CP) works with other Compliance department staff to ensure that the continuous supervision of the firm's business units meet regulatory requirements. The Chief Compliance Officer assigns tasks and duties to the CP. This position will report to the CCO located in Toronto.

Key Responsibilities

Your Skills:

Your Qualifications:

The CO must have a good understanding of the brokerage industry, the regulatory environment applicable to IIROC Dealer Members, and IIROC's Dealer Member Rules and Universal Market Integrity Rules. Preference will be given to candidates with an AML background.

Completion of the following courses is a requirement:

Completion of the following courses is considered an asset:

Compensation to be commensurate with experience

Interested candidates should forward a resume. We wish to thank all candidates for their interest but only those applicants selected for an interview will be contacted. No phone calls please. Thank you for your understanding.

About Mackie Research Capital Corporation

In 1921, Mackie Research Capital Corporation was formed into what is today, one of Canada's largest, independent, full-service investment firms. From the pre-boom markets of the early 20's through the crash of '29, Mackie Research Capital Corporation has demonstrated that our innovative, entrepreneurial formula has created a successful model for brokers in the industry, weathering even the most challenging market conditions.

Job Type: Full-time

Experience:

Education:

Location: