Compliance Officer

Job summary

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.

Job details

We are currently seeking a highly focused, efficient and effective professional to fill the role of a Compliance Officer, reporting directly to the Chief Compliance Officer of Sterling Mutuals Inc. (SMI). The successful candidate will be responsible for Registration activities, Audits, Advisor Reviews and Coordinating staff members with ongoing compliance activities of SMI, regulatory compliance obligations and its operational services. This position has a broad range of responsibilities that is expected to expand as the company continues to grow. The Compliance Officer role can be technical and precise, while assisting advisors and their practice, whom we’ve built close trusted relationships with. Primary Role & Responsibilities include but are not limited to: Conduct ongoing compliance activities pertaining to registration and proficiencies through NRD and CERTS. Assist with maintaining appropriate paper and electronic records through NRD for OBA, POA Approvals and Close Supervision orders. Assist with conducting advisor reviews with some travelling to foster trusted relationships with Advisors. Assist with the notification and administration of Annual Questionnaires, Annual PPM Acknowledgments, and Annual Code of Conduct. Conduct ongoing Tier 2 compliance activities for mutual fund operations. Keep abreast of changes to compliance procedures, firm policies, compliance manuals and rules, regulations, and requirements of securities regulatory authorities; and Work to continually improve product and compliance knowledge by completing industry courses, participating in seminars, workshops, and conferences, proactively reading internal publications, industry news and media releases, and sharing information and ideas with team members. Qualifications Proficiency & Experience Canadian Securities Course; or Investment Funds in Canada Course along with Exempt Market Securities Course, Exchange Traded Funds and Liquid Alternative Funds Course Branch Manager Course and the Mutual Fund Dealers Compliance Course Knowledge of the securities industry and regulatory environment (preferred). Technical Knowledge Advanced knowledge of MS Office (Excel, Outlook, PowerPoint and Word). Experience in working with systems and software as we move towards a tech-based environment. Skills & Abilities Detail-oriented. Strong verbal and written communication skills. Efficient time management and organization skills. Must have exceptional problem-solving skills. Excellent customer-focused attitude with the ability to build collaborative working relationships and commitment to providing extraordinary service to advisors. The ability to adapt quickly to changing needs and work requirements. Remuneration Estimated Salary Range is $55K- $70K How to Apply Sterling Mutuals Inc. is committed to providing its employees with rewarding opportunities to learn and grow their career. For more information about this career opportunity, or to submit your resume, please contact Som Houmphanh/ CCO at som.houmphanh@sterlingmutuals.com Please note that the posting will be closed on October 30, 2026. Industry Financial Services Employment Type Full-time

What you’ll do

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.

Requirements

Candidates must have the Canadian Securities Course, or the Investment Funds in Canada Course together with the Exempt Market Securities Course and the Exchange Traded Funds and Liquid Alternative Funds Course; the Branch Manager Course and Mutual Fund Dealers Compliance Course are also listed. The role calls for advanced Microsoft Office skills, familiarity with technology-based systems, strong communication and organizational abilities, attention to detail, problem-solving, and a customer-focused approach; securities industry and regulatory knowledge is preferred.

Listed skills

• Time management · Preferred
• written communication · Preferred
• Problem solving · Preferred
• Organization · Preferred
• adaptability · Preferred
• Regulatory Compliance · Preferred
• Microsoft Office · Preferred
• Relationship Building · Preferred

Other relevant skills

Identified from the job description. Confirm important requirements above.

• Regulatory Compliance
• Registration
• Auditing
• Advisor Reviews
• Mutual Fund Operations
• NRD
• CERTS
• Recordkeeping
• Problem-Solving
• Written Communication
• Verbal Communication
• Time Management
• Organization
• Microsoft Office
• Relationship Building
• Adaptability

Job areas

• Finance & Accounting
• Legal
• Management & Leadership