Key Responsibilities

• Review electronic communications (email, Teams, LinkedIn, WhatsApp) from registered representatives.
• Analyze alerts generated by surveillance tools to identify potential compliance concerns.
• Conduct initial investigations into issues such as unapproved channels, complaints, or improper conduct.
• Document findings clearly and escalt high-risk cases to compliance partners.
• Manage a high-volume caseload while meeting turnaround timelines.
• Contribute to process improvements, including workflow optimization and reduction of false positives.

Qualifications

• Bilingual English and French.
• 25 years of compliance experience within financial services.
• Experience in surveillance, AML/KYC, investigations, or trade/documentation review.
• Knowledge of CIRO regulations.
• Strong written communication and analytical skills.
• Ability to work independent...