Compliance Analyst (Branch Level Supervision)
Are you a detail-oriented and compliance-driven professional with a passion for maintaining regulatory excellence within the wealth management and investment industry? This role offers an exciting opportunity to support branch-level supervision activities, ensuring adherence to all regulatory standards while contributing to a culture of integrity, accuracy, and accountability.
Working with one of our top financial clients, this role calls for a Compliance Analyst (Branch Level Supervision) who will be responsible for performing supervision reviews, supporting regulatory initiatives, and providing guidance to branch employees on compliance and supervision matters. The ideal candidate will have a solid understanding of investment regulations, auditing practices, and financial oversight, with the ability to work independently and exercise sound judgment.
Responsibilities:
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Support branch-level sales supervision and regulatory compliance activities to ensure alignment with internal policies and external requirements.
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Act as a designee on supervision objectives for assigned branches.
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Provide ongoing supervision education, support, and guidance to branch employees.
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Conduct daily, monthly, and quarterly supervision reviews, including:
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Global Relay Email Review
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Gateway Message Review
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Daily Trade Review
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Monthly Activity Review
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Quarterly Meridian Report Review
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Outstanding Documentation Review
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Query and Request for Information (RFI) follow-ups
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Identify, report, and manage supervision issues and irregularities in accordance with compliance guidelines.
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Execute work to deliver timely, accurate, and efficient service across supervision activities.
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Collaborate with internal and external stakeholders to ensure consistency and alignment across compliance objectives.
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Support strategic initiatives related to supervision and regulatory enhancement.
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Maintain adherence to risk management and compliance processes, safeguarding client assets and ensuring regulatory integrity.
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Exercise independent judgment to identify, diagnose, and resolve compliance challenges while adhering to established standards.
Desired Skill Set:
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1–3 years of experience in Financial Services, preferably in Wealth Management, Investing, or Auditing.
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Strong verbal and written communication skills with attention to accuracy and detail.
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Excellent analytical and problem-solving skills.
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Strong collaboration and team-oriented mindset.
Nice-to-Have:
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Post-secondary degree in a related field or equivalent combination of education and experience.
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Canadian Securities Course (CSC) certification.
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Supervisor License (CIRO).
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Prior audit experience within the financial or banking industry.
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Working knowledge of supervision procedures and industry regulations.
BeachHead is an equal opportunity agency and employer. We advocate for you and welcome anyone regardless of race, color, religion, national origin, sex, physical or mental disability, or age.
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