Compliance Officer, Complaints recruitment

Our client, an investment dealer in the north end of Toronto, is looking to add a

Compliance Officer, Complaints.

Reporting to the Assistant Chief Compliance Officer, the Compliance Officer, Complaints is to be responsible for investigating and responding to client complaints and regulatory requests.

Focus for this role will include preliminary review and required document gathering of client complaints received. Additional responsibilities will include drafting client correspondence throughout the complaint handling as well as monitoring and documenting complaint processes to ensure timely and effective investigation and resolution of complaints and regulatory inquiries. The Compliance Officer, Complaints will also assist in the implementation of the firm’s compliance policy.

Qualifications:

Candidates to meet consideration for this full-time opportunity as a Compliance Officer, Complaints will come with 5+ years of experience in a compliance role at a mutual fund dealer and/or securities firm; hold the CSC or IFIC certifications; have completed the branch managers compliance course and the PDO or mutual fund dealer compliance course. Preference will be awarded to those candidates who are conversant in French.

To Apply:

If you are interested in this exciting opportunity, please send your CV to mark.vanderschot@roberthalffsg.com quoting the job reference Compliance Officer (#05091-100172) in the subject line of your e-mail.

About Us:

Founded in 1948, Robert Half International Inc. (RHI) is the recognized leader in professional-level staffing and operates in more than 350 locations in 14 countries throughout North America, Europe, Asia, Australia and New Zealand. Robert Half International is traded on the New York Stock Exchange (NYSE: RHI) and is a member of the prestigious SP 500 Index.

Robert Half Financial Services Group specializes in the placement of full-time, project and interim professionals in the banking, brokerage and investment sectors covering such areas as asset management, commercial lending, corporate finance, compliance, investment analysis and risk management.

Robert Half International again was named to FORTUNE® magazine's "World's Most Admired Companies" list, ranking number one in our industry in both innovation and quality of services. (March 21, 2011)

Visit us online at www.roberthalffsg.com or contact your local office at  1.800.803.8367  to learn more about how the Robert Half Financial Services Group can assist you.

Robert Half Financial Services Group is an Equal Opportunity Employer.