Compliance Officer

Compliance Officer

Build the future with us. Are you eager to contribute to the purpose of a company that aims to help its clients feel confident and secure about their future? As a Compliance Officer, you will play a key role in establishing and nurturing strong professional relationships with Branch Managers and Portfolio Manager teams, ensuring strict adherence to regulatory and firm compliance standards. This position is a great opportunity to showcase your skills and fully realize your potential within a caring and trustworthy company. Here, people and their development are at the heart of our priorities, fostering an environment that encourages collaboration and innovation.

What you’ll accomplish with us

Account Review & Transaction Oversight

• Review and analyze daily Tier 2 transactions and non-transactional activities,
• Assess new account documentation for the Managed Program (e.g., Investment Policy Statements, Managed ...