Hybrid Compliance Officer Focused on Complaint Management and Guidance

Become a pivotal Compliance Officer dedicated to handling complaints effectively. Utilize your expertise to provide guidance, identify trends, and ensure public protection in a hybrid work environment.

This role emphasizes managing complaints against licensees while advising on compliance inquiries. You will analyze non-compliance issues and potential risks, driving investigations to protect the public interest. Additionally, you’ll draft various communications and liaise with stakeholders to support your efforts.

Key Responsibilities: • Review complaints for Council's jurisdiction • Draft reminder letters for conduct concerns • Conduct investigations on compliance breaches • Prepare reports for Review Committee presentations • Document interactions with licensees and complainants

Requirements: • Minimum 3 years in regulatory or financial services • Post-secondary education in a relevant field • Proficiency in Microsoft Office suite • Strong conflict resoluti...