Job Description
This is a 6 month contract role with 3 days a week in the office.
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 deadlin...