Caldwell Compliance Supervisor Role

Take on the role of Compliance Supervisor at Caldwell Securities Ltd., focusing on compliance and risk mitigation. This position is vital for ensuring adherence to regulatory standards in investment management services.
Caldwell seeks a Compliance Supervisor to join the Compliance team, reporting directly to the Chief Compliance Officer. You will play a critical role in supervising compliance operations while guiding staff through compliance best practices and handling regulatory inquiries. This position requires a proactive approach towards compliance monitoring and supporting various compliance programs.
Key Responsibilities:
• Perform compliance monitoring and testing of operations
• Assess Caldwell’s adherence to industry regulations
• Provide support on regulatory inquiries and escalations
• Execute compliance reporting obligations to regulators
• Assist with daily compliance tasks and special initiatives
Requirements:
• Degree related to business or fin...