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About the Role
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 complianc...
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 complianc...
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