Compliance Associate

Ventum Financial a leading independent, Canadian-owned and operated private client and capital markets firm, known for our client‑centric approach and entrepreneurial spirit.

Position Overview

The Compliance Associate supports the Compliance and Registrations teams with regulatory filings, record maintenance, and day‑to‑day compliance monitoring. The role assists with supervision activities and administrative tasks that support the firm’s compliance with CIRO rules and other regulatory requirements.

Duties & Responsibilities

Registration and Compliance

• Assist with preparing and submitting individual registration filings through the National Registration Database (NRD)
• Maintain employee registration records and assist with updates
• Monitor regulatory notices, filing deadlines, and compliance requirements
• Maintain regulatory and compliance documentation and records
• Monitor and maintain employ...