Job Title: Compliance Officer
Employer: Sprott Private Wealth (“Sprott”)
Sprott is looking for a highly motivated full-time Compliance Officer to join its team in Toronto. This position will report to the Chief Compliance Officer (“CCO”) of Sprott.
The primary duties and responsibilities of this position include:
- Provide compliance oversight and advice to the Wealth Management and Investment Banking business.
- Responsible for compiling, reviewing and assisting with any regulatory requests.
- Assisting the CCO with both internal and external audits.
- Assist in the creation and implementation of new and amended policies and procedures.
- Perform all daily trade reviews.
- Coordinate the Outside Business Activity review / approval process.
- Approve and review all employee personal trading requests.
- Assist with departmental and enterprise initiatives as required.
- Strong oral and written communication skills.
- 2+ years of experience within a compliance or related environment.
- Current Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH) and Branch Managers Course certificate is required.
- Comprehensive knowledge of securities industry rules & regulations.
To apply for this position, please send your resume and cover letter to Sarah-Jane Martin – email@example.com with the position title (Compliance Officer) in the subject line.
We thank all applicants for their interest; however, only qualified candidates as determined by Sprott will be contacted. Sprott does not accept unsolicited agency resumes or phone calls.