Compliance Associate

Ventum Financial a leading independent, Canadian-owned and operated private client and capital markets firm, known for our client-centric approach and entrepreneurial spirit.

Position Overview The Compliance Associate supports the Compliance and Registrations teams with regulatory filings, record maintenance, and day-to-day compliance monitoring. The role assists with supervision activities and administrative tasks that support the firm’s compliance with CIRO rules and other regulatory requirements.

Duties & Responsibilities Registration and Compliance

Assist with preparing and submitting individual registration filings through the National Registration Database (NRD)

Maintain employee registration records and assist with updates

Monitor regulatory notices, filing deadlines, and compliance requirements

Maintain regulatory and compliance documentation and records

Monitor and maintain employee PRO accounts to ensure compliance with regulatory requirements and firm policies.

Track and maintain Continuing Education requirements for registered employees

Assist with internal compliance reviews (e.g., annual attestation)

Support regulatory requests, audits, or information requests

Assist with compliance projects or regulatory initiatives as required

Administrative Support

Provide general administrative support to the Compliance and Registrations teams

Maintain compliance files and internal documentation

Assist with coordinating meetings and preparing materials when required

Distribute compliance materials and onboarding information to new employees

Support office organization and assist with general administrative duties as required

Knowledge, Skills & Abilities Education

University or college business degree and/or relevant experience in financial services (experience with a CIRO Dealer Member preferred)

Relevant CSI courses (CSC and CPH), or the ability to meet applicable proficiency requirements, considered an asset

Commitment to ongoing professional development and continuing education

Professional Experience

Familiarity with CIRO rules and related securities regulations

Understanding of securities industry practices and regulatory requirements

General knowledge of compliance and supervision processes within a dealer environment

Personal and Skills Competencies

Strong organizational and administrative skills

Advanced proficiency in Microsoft Office (Word, Excel, Outlook)

Ability to manage multiple priorities and meet deadlines

Strong attention to detail and accuracy

Ability to work collaboratively with different departments

Maintain professionalism, integrity, and discretion when handling confidential information

Familiarity with the NRD system is an asset

We wish to thank all candidates for their interest but only those applicants selected for an interview will be contacted.

Ventum is committed to fostering an inclusive, accessible environment where all employees and customers feel valued, respected and supported. If you are invited to interview and require accommodation (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.

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