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
Employment Type
Full-time
