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 <...