Caldwell Securities Ltd. (Caldwell) is a majority employee-owned investment dealer that has been providing sophisticated and experienced investment and wealth management advice to individuals and corporations since 1981. Caldwell’s primary business includes investment management services, mutual fund sales, and retail and institutional sales. Caldwell is a member of the Canadian Investment Regulatory Organization (CIRO) and runs its own self-clearing operations.

About the Job:

We are searching for a Compliance Supervisor to join our Compliance team. The individual will report into the Chief Compliance Officer and provide support to the business, including retail and institutional sales staff and the trade desk, with a view to mitigating civil, regulatory and reputational risk for Caldwell Securities. Additionally, you will assist with special initiatives and projects as needed to respond to internal requests and regulatory changes and focus areas.

What ...