Compliance Officer

Compliance Officer

Halifax, Saint John, Moncton or Toronto

Reference # HL-14290

Owens MacFadyen Group (OMG) is a boutique Wealth Management and Benefits Consulting firm which specializes in the high net worth market. Since 1995, we have been providing a unique team-based approach to Comprehensive Wealth Management and Benefits Consulting that allows our clients to have significantly better outcomes. 

We are well respected by our clients and within our industry. Business leaders have recognized us as a key partner in their success. With over 85 employees, we have continued to grow successfully in Halifax, Moncton, Saint John and Toronto.

We are looking for a Compliance Officer to join our team. Reporting to the Chief Compliance Officer, you will support the overall compliance function of the business. You will be one of the primary resources for Advisors, Associates, Administrators, and Regulators. This is a content heavy position that will require a deep understanding of the business and the ability to manage a high volume of information flowing from both internal and external sources.

Key responsibilities include:

  • Review and ensure compliance with the requirements of IIROC's Dealer Member Rules and National Instrument 31-103 ("NI 31-103")
  • Responsible for maintaining registrant profiles through the National Registration Database
  • Review account opening documents to ensure KYC and suitability requirements have been met
  • Review client files to ensure they are accurate and complete
  • Review & analyze daily, weekly and monthly transaction reports
  • Perform regulatory compliance checks/practice audits to guarantee continuous regulatory compliance
  • Responsible for answering compliance-related questions to provide regulatory guidance
  • Stay up-to-date with regulatory changes

The ideal candidate will have:

  • A minimum of two years of related work experience, ideally in compliance, finance, or operations from a financial and/or investment firm.
  • An undergraduate degree and or an acceptable combination of education and progressively responsible work experience.
  • Capable of completing industry-specific coursework (Canadian Securities Course, CPH, Branch Manager's Course). IIROC registered would be an asset.
  • Ability to work efficiently under pressure, both individually and as part of a team, dealing with changes and interruptions while maintaining strict deadlines.
  • Strong oral and written communication skills
  • High attention to detail and accuracy
  • Previous experience handling confidential or sensitive information with integrity
  • Exceptional planning, organizational and time management skills
  • Understands and recognizes priorities, deadlines and has a sense of urgency

Benefits of working with Owens MacFadyen Group:

  • Competitive compensation and comprehensive benefits program
  • Leading edge technology with proprietary tools and technologies available
  • Positive culture where team members are valued and respected
  • Support of ongoing professional development throughout career
  • Collaborative team environment
  • Commitment to and supportive of community involvement

If you are motivated, have a keen eye for the details, strong communication skills and someone who can build trust easily, this could be the perfect role for you! Connect with us today to learn more or Apply Now below.

To express interest in this opportunity please apply online by clicking the link below:

For more information about this exciting opportunity please contact Heather Labucki, Partner, or Jason Ozon, Consultant, at If you require accommodation to participate in the recruitment process, please let Jason Ozon know.

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