CAREERS

Compliance Administrator – Exempt Market Dealer

Toronto, ON | Full-Time | In-Office | $65,000 – $70,000

About the Role

Cranson Capital Securities Inc. is a Toronto-based Exempt Market Dealer registered across five provinces, specializing in raising capital for real estate development projects. Since 2011, the firm has raised over $300M in equity across 27+ active projects.

We are seeking a detail-oriented and highly accountable Compliance Administrator to support our Chief Compliance Officer across all aspects of regulatory compliance and investor administration. This is a critical role within a small, high-performing team. The right candidate will take ownership of compliance processes, investor documentation, and deal execution from day one.

This role is best suited for someone who thrives in a fast-paced environment, takes ownership of their work, and is comfortable managing multiple concurrent deadlines with precision.

Key Responsibilities

  • Process and review new account documentation (NCAFs), subscription agreements, and KYC files for completeness and accuracy

  • Coordinate deal closings, including investor onboarding, document collection, and investor portal setup

  • Maintain investor records and folders across internal systems and portals

  • Monitor KYC records to ensure client information remains current; maintain out-of-date tracking logs

  • Support trust account reconciliation in coordination with the COO

  • Liaise with external compliance advisors on NRD-related matters, firm updates, and regulatory requirements

  • Administer AML compliance processes including FINTRAC filings, PEP/HIO screening, and annual AML reporting support

  • Support OSC and AMF regulatory correspondence and compliance reviews

  • Assist in maintaining and updating the firm's compliance manual, policies, and procedures

  • Review marketing materials, investor communications, and website content for regulatory compliance

  • Maintain compliance records in accordance with regulatory retention requirements

  • Track dealing representative registrations, renewals, and annual acknowledgements

  • Coordinate with legal counsel and external advisors on regulatory matters

Qualifications & Skills

  • Post-secondary education in finance, business, law, or a related field

  • 3+ years of compliance experience within the financial services industry

  • Working knowledge of OSC requirements and NI 31-103; familiarity with AMF (Quebec) requirements is an asset

  • FINTRAC/AML compliance experience, including client identification and suspicious transaction reporting

  • Familiarity with NRD registration processes and coordinating with external compliance advisors

  • Experience managing high-volume documentation and transaction workflows

  • Familiarity with investor portal platforms (Agora or similar) and document management systems

  • Proficiency in Microsoft Office; experience with CRM systems

  • Exceptional attention to detail and ability to manage multiple concurrent priorities under tight deadlines

  • High degree of discretion in handling confidential client and regulatory information

  • Self-directed and comfortable operating in a lean, high-accountability team environment