Company Overview
Owens MacFadyen Group (OMG) is a boutique Wealth Management firm serving high-net-worth individuals and families across Canada. Since 1995, our team-based approach to Comprehensive Wealth Management has helped clients achieve better financial outcomes. Today, we are proud to have more than 100 employees across our offices in Halifax, Moncton, Saint John, and Toronto.
Role Summary
Owens MacFadyen Group is seeking a detail-oriented and highly motivated Compliance Officer to join a compliance team that plays a broader role than regulatory oversight alone. Reporting to the Director of Compliance, you will support the firm's regulatory framework while also working cross-functionally with our investment, insurance, operations, technology, and advisor teams to strengthen business processes, improve controls, and help deliver a high-quality client and employee experience.
This role is ideal for someone already working in compliance who is looking to expand beyond traditional file reviews, monitoring, and regulatory reporting. The successful candidate will enjoy applying compliance judgment in practical business settings, identifying opportunities to make processes better, and contributing to a department focused on true operational excellence, sound risk management, and thoughtful support of OMG's continued growth.
Key Responsibilities
- Monitor compliance with CIRO Dealer Member Rules, FINTRAC requirements, insurance regulations, and other applicable regulatory frameworks.
- Maintain registrant profiles through the National Registration Database (NRD).
- Review account opening documentation and client files to ensure KYC, suitability, accuracy, completeness, and regulatory compliance.
- Analyze compliance and transaction reports and conduct compliance reviews, audits, and monitoring activities.
- Provide compliance guidance to Advisors and internal stakeholders and support compliant client service.
- Monitor regulatory developments and assess impacts on firm policies, procedures, and business practices.
- Support compliance projects, process improvements, and the development and maintenance of compliance policies and documentation.
Skills & Attributes
- Exceptional organizational skills and attention to detail.
- Strong ability to manage multiple priorities and competing deadlines.
- Self-motivated with a proven ability to take ownership and follow through on commitments.
- Strong analytical, problem-solving, and critical thinking skills.
- Excellent verbal and written communication skills.
- Service-oriented mindset and ability to build strong working relationships.
- High level of professionalism, integrity, and discretion when handling confidential information.
- Ability to prioritize effectively and maintain a strong sense of urgency.
- Desire to learn, grow, and expand responsibilities over time.
Qualifications
- Minimum of 2 years of experience in compliance, financial services, investment operations, or a related field with a CIRO-registered investment dealer.
- CIRO registration as either an Investment Representative, Registered Representative or Supervisor is required.
- Post-secondary degree, diploma, or equivalent combination of education and relevant experience.
- Advanced proficiency with Microsoft Office Suite, particularly Excel and Word.
- Experience with compliance monitoring & onboarding, portfolio management, CRM, or reporting systems is considered an asset.
- Must be able and willing to work full-time in the office.
- Bilingualism (English/French) is considered a strong asset.
Why Join Owens MacFadyen Group?
- Competitive compensation and comprehensive benefits starting on your first day.
- Employer-matched DCPP with up to a 5% company match following probation.
- Health Care Spending Account (HCSA) and/or Personal Wellness Account (PWA) following probation.
- Educational Assistance Program to support professional development and career growth.
- Collaborative, family-oriented culture where employees are valued, supported, and connected.
- Regular team events, community involvement opportunities, and a strong focus on employee engagement.
- Opportunity to enrich your career with a respected and growing Wealth Management firm.
Pay: $75,000.00-$90,000.00 per year
Benefits:
- Company events
- Dental care
- Disability insurance
- Employee assistance program
- Extended health care
- Life insurance
- Paid time off
- RRSP match
- Vision care
- Wellness program
Experience:
- CIRO-registered Investment Dealer firm: 2 years (required)
Licence/Certification:
- CIRO registration: IR, RR or Supervisor (required)
Work Location: In person
