Compliance Associate at Ventum Financial

Enhance your career as a Compliance Associate with Ventum Financial, a client-centric capital markets firm. Support compliance monitoring and regulatory filings while ensuring adherence to CIRO rules.

At Ventum Financial, the Compliance Associate plays a vital role in the Compliance and Registrations teams. This position involves regulatory filings, record maintenance, and daily compliance tasks. Ideal candidates will possess strong organizational skills and a foundational understanding of compliance and regulatory requirements.

Key Responsibilities:
• Assist with personalized registration filings via NRD
• Maintain and update employee registration records
• Monitor compliance deadlines and regulatory notifications
• Support internal compliance reviews and audits
• Provide administrative support to Compliance teams

Requirements:
• Degree or relevant experience in financial services
• Familiarity with CIRO ...