Company Description Independent Financial Services is a client-focused financial services firm dedicated to providing personalized advice and solutions. The organization emphasizes integrity, transparency, and long-term relationships with individuals, families, and small to medium sized businesses. Team members work collaboratively to help clients navigate financial decisions and adopt strategies and solutions that match their circumstances and Needs. The firm values professional growth, continuous learning, and a supportive work environment. Joining Independent Financial Services offers the opportunity to make a measurable impact on client outcomes and organizational success.
Role Description This is a full-time, on-site General Manager / Compliance Officer role based in Saskatoon, SK. Working under the direction of the firms CEO the General Manager / Compliance Officer will oversee many aspects of daily operations, including core staff management, workflow coordination, and resource allocation to facilitate efficient, client-centered service. This role will include active involvement in Advisor and Staff Compliance oversight including developing, maintaining and updating policies and procedures to meet applicable regulatory and industry requirements. The position includes conducting some Advisor audits, reviewing client files and documentation, and addressing potential compliance issues proactively. The role will also collaborate with the CEO / Board on business planning, performance, budgeting, and risk management, while providing guidance to team members on regulatory changes and best practices. The General Manager / Compliance Officer will serve as a significant point of contact along with CEO for regulators, external partners, and internal stakeholders regarding compliance matters.
Qualifications
General Manager / Compliance Officer • Saskatoon, SK, Canada
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