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First seen by our source: 7 hours ago

Compliance (Corporate Branch Manager)

@ Argosy Securities Inc.

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Toronto, Ontario

Full-time2+ years experience
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Overview

Argosy Securities Inc. is hiring a full-time Compliance (Corporate Branch Manager) for a CIRO investment dealer member. The role supervises trading activity, reviews new accounts, conducts branch audits in an assigned region, and reviews marketing and surveillance materials. The candidate works under minimal supervision in a fast-paced environment and must meet one of three CIRO supervisor registration conditions.

Responsibilities:

  • Tier 1 and Tier 2 trade supervision
  • Suitability review and approval of new accounts
  • Branch visits and audits in assigned region
  • Marketing materials review and approval
  • OBA, email surveillance and social media review

Requirements summary:

  • Current, previous, or near-term CIRO Supervisor of RRs registration
  • Two years of relevant CIRO or former IIROC/MFDA dealer experience
  • Completion of CIRO 2026 Supervisor Exam or IDSC enrollment
  • Knowledge of Tier 1 and Tier 2 trade supervision
  • Good communication skills with Advisors
Source and dates

Source type not verified · apify-linkedin

Employer posting date
Not provided
First seen by our source
2026-11-14
Source record updated
2026-11-14

These dates describe the source record, not a live verification that the employer is still hiring. Check the original posting.

Job details

SeniorityManager
DepartmentFinance & accounting
Experience2+ years
Hours per week40 (estimated)
Travelground: moderate
Work settingOffice, Client sites
PositionMostly sitting
Physical demandsphysical low · computer high
LanguagesEnglish
Licences & certificationsCIRO Supervisor of RRs, CIRO 2026 Supervisor Exam, Investment Dealer Supervisor Course (IDSC)

Summary and details written by AI from the posting; the employer’s posting is the authority.

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Argosy Securities Inc.

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Job description

We are seeking an individual for the position of Compliance (Corporate Branch Manager) with a CIRO investment dealer member. The successful candidate will be able to work in a fast-paced environment and perform their duties under minimal supervision.

MUST satisfy at least one (1) of the following:

1. Currently registered as a CIRO Supervisor of RRs or as a Supervisor designated to be responsible for the opening of new accounts and account supervision or,

2. Previously registered as a CIRO Supervisor of RRs or as a Supervisor designated to be responsible for the opening of new accounts and account supervision for at least two years within the last three years or,

3. Be eligible to apply for registration immediately upon hire based on:

a) Two years of relevant experience with a CIRO dealer (or a former IIROC or MFDA dealer).

b) Completion of the CIRO 2026 Supervisor Exam or enrollment in CSI's Investment Dealer Supervisor Course (IDSC) prior to December 31, 2025. The IDSC must have been completed within the previous 36 months.

Primary Duties:

• Tier 1 and/or Tier 2 supervision of trading activity

• Suitability review and approval of new accounts

• Branch visits/audits in the assigned region

• Marketing materials review and approval

• OBA, email surveillance, and social media review and supervision

• Other duties as assigned

Skills Required:

• Knowledge of Tier 1 and Tier 2 trade supervision

• Good communication skills to effectively interact with Advisors

In your application, please provide the completion dates of all relevant courses.

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