Job description Financial Compliance Officer near Brandon (MB)
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Find out what work is like for a financial compliance officer in Canada. This work description is applicable to all Other financial officers (NOC 11109).

Other financial officers

Description

Other financial officers include professional occupations in finance such as financial examiners and inspectors, financial investigators, financial underwriters, mortgage brokers and trust officers. They are employed by banks, trust companies, investment firms and governments, or they may be self-employed.

Job duties

Here are some of the main activities and tasks that Other financial officers have to perform, and some of the physical demands they involve:

  • Financial examiners and inspectors
  • Review and examine banks, trust companies, credit unions, caisses populaires, credit companies, real estate companies, insurance companies, pension funds, securities brokers and other financial services and institutions to ensure compliance with governing legislation and regulations.
  • Financial investigators
  • Investigate possible unethical conduct or breaches of securities or commodity futures laws by persons or companies that trade in securities and commodity futures or that provide related financial services.
  • Financial underwriters
  • Analyze clients requests to assess risk and details of stocks, bonds, mortgages or other financing solutions
  • Negotiate with corporations, governments or individuals to determine the type and terms of financial products and prepare offering prospectuses or contracts
  • May underwrite new issues of stocks and bonds.
  • Trust officers
  • Administer estate, personal, charitable, corporate and other types of trusts
  • Direct trust account investments, receive and record investment income and disburse trust funds.
  • Mortgage brokers
  • Meet with clients to obtain information about income, liabilities and assets, and type, price and condition of property to be mortgaged
  • Negotiate mortgage loans with lenders or lending institutions on behalf of clients.

Physical demands

Physical demands are the physical activities that the job requires the worker to do. Physical demands are selected according to the likeliness that workers will have to perform them for at least half of the time they spend at work.

Work environment

The work environment refers to the physical setting in which people work. The characteristics and conditions of the work environment are selected according to the likeliness that workers will be exposed to them at least once a week.

Physical proximity from others

Physical proximity from others refers to the physical distance between individuals in the workplace. The likeliness that the job requires to perform tasks while being physically close to other people is rated on a scale with 3 levels: "Somewhat close", "Close" and "Very close".

Related job titles

Here are some other related job titles that are found in the same occupational category (NOC 11109), and a list of similar occupations:

  • credit adjudicator
  • credit unions examiner
  • estate and trust administrator
  • financial institutions inspector
  • financial investigator
  • financial underwriter
  • mortgage broker
  • trust officer

Similar occupations Help - Similar occupations

Similar occupations

This section lists other occupations that are part of the same broad occupational category as Other financial officers in the National Occupational Classification (NOC). These occupations involve similar core qualifications but involve different responsibilities. To see more similar occupations, use the Job Transition Tool.

Sources Occupational and Skills Information System & National Occupational Classification

Labour Market Information Survey
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