Regulatory Compliance Associate Role

Step into a pivotal Compliance Associate role at Ventum Financial, dedicated to regulatory support and client service. Facilitate compliance monitoring and assist with various administrative functions daily.
The Compliance Associate position at Ventum Financial is integral to maintaining adherence to CIRO regulations. This role requires oversight of regulatory filings and proactive compliance monitoring. Candidates should exhibit a commitment to ongoing education and strong administrative capabilities, ensuring accurate records and documentation.
Key Responsibilities:
• Prepare regulatory filings through the National Registration Database
• Update and maintain employee registration files
• Monitor compliance requirements and regulatory notifications
• Support audits and internal reviews
• Provide essential administrative assistance to compliance teams
Requirements:
• University degree or relevant experience in finance
• Understanding of CIRO regulatory fra...