We\xe2\x80\x99re looking for a Senior Compliance Investigator to join our Market Conduct Investigations team.
Reporting to the Manager, Market Conduct Investigations, the Senior Compliance Investigator will be responsible to help protect the company\xe2\x80\x99s integrity and customer livelihoods by reviewing and resolving allegations of negligence and inappropriate conduct by financial advisors.
As a Senior Compliance Investigator, you are accountable for investigations from inception to completion. You investigate and respond to client complaints alleging advisor misconduct and negligence, conduct comprehensive investigations of advisors and their books of business, and review and respond to requests from regulators.
We are a supportive and collaborative team that enjoys taking on new challenges and making a difference to our company and its customers. We are seeking a natural problem solver with excellent investigation and communication skills. If this sounds like you, don\xe2\x80\x99t go unnoticed, we want to hear your story and why you\xe2\x80\x99re a winning candidate.
What you will do
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