Compliance Assistant at Insurance Talent Group — NeverHard

Job DescriptionJob Description Compliance Assistant Location: Mississauga, Ontario Reports To: Chief Compliance Officer $55,000-$60,000 Overview : The Compliance Assistant works closely with the Chief Compliance Officer to support the smooth and compliant operation of the branch. This role encompasses a broad range of responsibilities including administrative coordination, documentation oversight, client support, trade processing, and regulatory reporting. Key Responsibilities: Client Onboarding and Account Administration: Support the setup of new client accounts, verifying that all documentation is in order and meets regulatory standards Collect and maintain accurate Know Your Client (KYC) records Action account maintenance requests such as address updates, beneficiary changes, and banking information Confirm that client identification is compliant with anti-money laundering (AML) requirements Keep client files organized, up to date, and securely stored Documentation and Compliance Support: Review and file client-facing documents including KYC forms, trade confirmations, and disclosure materials, ensuring completeness and proper authorization Identify and escalate any documentation gaps or inconsistencies prior to submission Support adherence to regulatory requirements including CIRO guidelines Contribute to audit preparation and generate compliance reports as required Monitor transaction activity for alignment with suitability and regulatory standards Client Service and Communication: Respond to client and advisor inquiries relating to mutual fund accounts in a timely and professional manner Manage client correspondence, including requests for account statements, tax documents, and general account information Transaction Processing and Trade Support: Execute buy, sell, and switch instructions on mutual fund accounts under advisor direction Reconcile daily transaction reports to confirm accuracy and timeliness of processing Reporting and Recordkeeping: Keep branch records, trade logs, and KYC documentation current and compliant with regulatory standards Assist in the preparation of periodic reports for internal leadership or regulatory bodies Monitor and follow up on client complaints and outstanding compliance matters Branch and Head Office Support: Assist with suitability reviews, trade authorizations, and KYC renewals Ensure timely submission of required reporting to head office and support the coordination of internal and external audit processes Qualifications and Skills: Background in financial services or a mutual fund environment is an asset Working knowledge of KYC, AML, and suitability frameworks Detail-oriented with strong organizational and documentation skills Clear communicator who can work both independently and as part of a team Proficient in Microsoft Office; experience with branch or compliance management systems is a plus Education: Post-secondary education in Business Administration, Finance, or a related discipline preferred Industry certifications such as IFIC or CSC are considered an asset Working Environment: This is a full-time, in-office position based in Mississauga. Some flexibility may be required to meet branch needs and regulatory deadlines.