Accelerate your career in compliance with Roots Funding as a Junior Compliance Officer. Join our dynamic compliance team and work with securities regulations, AML/KYC, and private market activities.
Roots Funding Inc., recognized as an Exempt Market Dealer, seeks a detail-oriented Junior Compliance Officer. In this hands-on role, you will support the Chief Compliance Officer while gaining exposure to compliance strategies across several jurisdictions. This role is tailored for early-career professionals interested in rapidly enhancing their compliance knowledge in a multi-jurisdictional context.
Key Responsibilities:
- Conduct KYC, KYP, and suitability reviews for investors
- Support operations of the AML/ATF program
- Review offering documents and investor files for compliance
- Prepare and track regulatory filings across jurisdictions
- Assist with conflicts of interest management
Requirements:
- Completion of the Canadian Securities Course (CSC)
- 0 to 2 years of compliance or onboarding experience
- Strong attention to detail and documentation skills
- Proficiency with Microsoft 365
- Degree in finance, business, or related field
Leverage your compliance expertise to support Roots Funding's innovative approaches in the financial sector.
