We are an independent financial services dealer that focuses on independent advisors and their values. Sterling Mutuals was founded in 1996 and has grown to be one of Canada’s coast to coast premier independent dealers with over 300 advisors. Our advisors are independent but never alone. With our distinctive use of technology and unique support, advisors have the confidence that Sterling Mutuals is the right dealer for them and for their clients. Sterling Mutuals has always excelled by giving advisors a voice to express their independence. We acknowledged early on that our people are the most valuable asset in this organization. We are committed to working with our advisors by offering their clients the best the industry has to offer. Contact us today to learn more about the advantages of dealing with an independent advisor!
On-site · Windsor
Conduct registration and proficiency activities, audits, advisor reviews, and ongoing compliance work for mutual fund operations. Maintain compliance records and administer annual questionnaires and acknowledgments while coordinating with staff and keeping current with regulatory requirements and firm policies.