Senior Compliance Officer

**Monitoring Activities** – Monitor ongoing activities including the timely review of daily/monthly trading/business activity to ensure adherence to regulatory requirements, company policies, practices and acceptable standards of business ethics and conduct of CWG and ISI.* **You have a deep understanding** of full-service investment dealer firm as well as order-execution-only investment dealer firm business processes**.*** **You can demonstrate successful completion of the Canadian Securities Course or the Canadian Investment Regulatory Exam and Retail Securities Exam**. **It is an asset** if you have successfully completed the Conduct and Practices Handbook, Options Supervisors Course, Branch Managers Course, Partners, Directors and Officers Course, or equivalent.* **You demonstrate natural leadership** and can proactively assist the Senior Manager and colleagues with more advanced and non-routine matters including representing Compliance on business initiatives.* **You can demonstra...