Mutual Funds Compliance Specialist - Securities Regulations & Industry Experience
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El puesto
Compliance Specialist:
Accountable for daily and monthly Tier 1 supervision of registered advisors, ensuring compliance with internal policies and external regulations.
Requires 3-5 years financial services experience, college diploma, and eligibility for CIRO MFD registration.
Must possess strong compliance, communication, and
Accountable for daily and monthly Tier 1 supervision of registered advisors, ensuring compliance with internal policies and external regulations.
Requires 3-5 years financial services experience, college diploma, and eligibility for CIRO MFD registration.
Must possess strong compliance, communication, and
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