Compliance Supervisor Career at Caldwell

Join Caldwell Securities Ltd. as a Compliance Supervisor and support our commitment to compliance excellence. This role involves overseeing compliance monitoring and providing advisory support for regulatory initiatives.
As a Compliance Supervisor, you will report to the Chief Compliance Officer and collaborate with various teams to ensure regulatory adherence. You will lead efforts in compliance assessments, manage regulatory examinations, and guide staff in meeting compliance standards. This role calls for a strategic mindset and excellent communication skills.
Key Responsibilities:
• Execute supervisory compliance monitoring and testing
• Guide staff on compliance with industry regulations
• Lead CIRO examinations and regulatory reporting
• Support complaint resolution and escalation processes
• Assist with various compliance programs and initiatives
Requirements:
• University degree in a related field
• 3 to 5+ years in full-service investment dealers<...