Compliance Officer, Regulatory Complaints, Investigations & Inquiries

Coordinate the intake of client complaints, including inputting and maintaining a complaints database, communicating with Branch Managers, and preparing acknowledgement letters.,Obtain required documentation and supporting material to prepare complaint files for analysis.,Report complaints, updates, internal investigations, and other reportable events through the regulator's reporting system (ComSet), as requested.,Prepare and update files.,Assist with the coordination of documentation for internal or supervisory investigations and/or regulatory inquiries and complaint analysis.,Contribute to RCII monthly and quarterly reporting requirements.,Manage documents and communications for tasks related to regulatory inquiries.,Monitor and manage RCII shared mailboxes.,Undertake other initiatives as required.

Experience working in a regulatory environment and knowledge of concepts relevant for regulatory complaints management.,University degree (preference in law, business, or finance).,Completion of securities industry related education (nice-to-have).

University Degree (Law, Business, or Finance preferred)