Overview
Compliance Administrator – Exempt Market Dealer Jobs in Toronto, Ontario, Canada at Cranson Capital
Title: Compliance Administrator – Exempt Market Dealer
Company: Cranson Capital
Location: Toronto, Ontario, Canada
Cranson Capital Securities Inc.
Compliance Administrator – Exempt Market Dealer
Toronto, ON | Full-Time | In-Office
Salary Range: $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- Monitor KYC records to ensure client information remains current; maintain out-of-date tracking logs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
