Compliance Officer

Job Title:             Compliance Officer

Employer:           Sprott Private Wealth (“Sprott”)

Location:             Toronto

Position Description

Sprott is looking for a highly motivated full-time Compliance Officer to join its team in Toronto.  This position will report to the Chief Compliance Officer (“CCO”) of Sprott.

The primary duties and responsibilities of this position include:

  • Provide compliance oversight and advice to the Wealth Management and Investment Banking business.
  • Responsible for compiling, reviewing and assisting with any regulatory requests.
  • Assisting the CCO with both internal and external audits.
  • Assist in the creation and implementation of new and amended policies and procedures.
  • Perform all daily trade reviews.
  • Coordinate the Outside Business Activity review / approval process.
  • Approve and review all employee personal trading requests.
  • Assist with departmental and enterprise initiatives as required.

Position Requirements

  • Strong oral and written communication skills.
  • 2+ years of experience within a compliance or related environment.
  • Current Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH) and Branch Managers Course certificate is required.
  • Comprehensive knowledge of securities industry rules & regulations.


To apply for this position, please send your resume and cover letter to Sarah-Jane Martin – with the position title (Compliance Officer) in the subject line.

We thank all applicants for their interest; however, only qualified candidates as determined by Sprott will be contacted. Sprott does not accept unsolicited agency resumes or phone calls.