Joining Mirabaud, means entering an entrepreneurial and innovative environment. With the 7th generation of the Mirabaud family working within the bank, the culture is that of a family business. With over 750 employees based in 10 countries worldwide, Mirabaud offers opportunities to develop one’s career across an international network of 16 offices.

• Ensure compliance with regulatory requirements applicable to securities dealers including the rules and policies of self-regulatory organizations and provincial securities commissions;
• Analyses various sources of information, including documents on file, reports and applicable procedures to identify trends or problems;
• Responsible for identifying appropriate corrective actions, communicating recommendations to appropriate parties and following up to ensure that corrective actions have been effectively implemented and well documented;
• Communicate and respond to requests quickly, accurately and with a high degree of professionalism (initial requests, follow-ups and general requests)
• Communicate with the Chief Compliance Officer and the Executive Team regarding the synthesis of findings for review and obtain approvals;
• Assist the CCO with management, including providing advice on interpretation of regulations and industry best practices;
• Perform the initial review of client documentation to ensure compliance with regulatory requirements, internal and group guidelines, and provide a comprehensive risk analysis;
• Coordinate and facilitate relations with various regulatory bodies; Performs monthly verification of "insider" and PPV (politically vulnerable persons);
• Manage changes with customer information in the Central File and supervise Central File;
• Maintain and organize client information and correspondence in accordance with Mirabaud Canada's Policies and Procedures;
• Participate in the development of internal documents related to Compliance and Compliance guidelines;
• Organize training programs provided to the new employees of the bank;
• Participate to ad-hoc projects in relation to the division’s activities;
• Execute controls in accordance with the best execution principles and support with any other administrative or compliance duties;
• Coordinate in the development of internal documents related to Compliance (also for the purpose of internal and external audits);

• Bachelor degree in law or equivalent; CAMS designation is an asset;
• At least 5 years of experience in the brokerage industry, specifically in retail compliance supervisions and financial crime and anti-money laundering;
• Possess or will possess, within the first year, the title of Supervisor as required by CIRO to supervise registered representatives;
• Very good resistance to stress, work with methodology and rigorous;
• Good team player, very good spirit of adaptation and flexibility, good oral and written communication skills;
• Fluent French & English

Jump on the boat!

• Family-friendly and dynamic environment;
• Direct impact on the business, no matter your position or seniority;
• Work in an environment that encourages autonomy and entrepreneurship;
• Flexible working arrangements to help you achieve a better work-life balance;
• Variety of cultural and sporting activities during your free time;
• Inclusion and equal treatment;
• Various employee benefits & family friendly benefits.