Senior Branch Compliance Officer (Mississauga)

Senior Branch Compliance Officer (Mississauga)

Edward Jones is a Fortune 500 financial services firm seeking a Senior Branch Compliance Officer (Sr. BCO) of Managed Accounts to oversee and enhance compliance oversight across branch teams. The role involves regulatory supervision, risk management, and mentorship while ensuring adherence to CIRO standards.

Responsibilities

• Compliance oversight of daily advisor and team activities, monitoring for regulatory and internal policy compliance.
• Serve as primary compliance point of contact for branches, providing guidance on regulatory interpretation and policy application.
• Facilitate training classes for financial advisor trainees and registered branch associates.
• Review, assess, and approve outside activity disclosures submitted by associates.
• Identify and mitigate compliance risks within branch activities, collaborating with compliance teams.
• Maintain de...