Manager, Compliance

Act as the lead DS Compliance support for Quebec, being the key contact for Branch Managers and Investment Advisors.,Provide advisory support to the branch network, responding to routine and complex inquiries and escalations.,Assist with the complaint review, resolution, and escalation process for French language reportable complaints, ensuring compliance with CIRO and AMF rules.,Act as the primary support for French language/AMF regulatory projects, deliverables, and initiatives.,Deal with “non-routine matters” including certain client escalations.,As needed, assist with monitoring activities for the DS Retail business.,Provide support for regulatory initiatives, participate in internal working groups, and ad hoc projects.,Act as primary backup for the review and approval of uncovered options trading requests.

7+ years of progressive experience in the financial services business.,Knowledge of the securities/investment or financial services industry, compliance practices, and legal and regulatory requirements.,Ability to manage conflict, negotiate, and influence decision-making.,Strategic mindset, ability to work well within a team, strong interpersonal skills, and a strong client service focus.,Excellent verbal and written communication skills.,Effective at time-management, multi-tasking, and delivering on short-term priorities while maintaining a long-term focus; ability to both respond to and drive change management.,Bilingualism (English and French) required.,Nice-to-have: 2+ years of experience with wealth management/full-service brokerage.,Nice-to-have: Completion of industry-related education.