Compliance and Regulatory Functions

The Compliance and Regulatory Functions team at Canaccord Genuity Group Inc. is responsible for ensuring adherence to applicable laws, regulations, and internal policies across the company's operations. This team develops and implements compliance programs, conducts risk assessments, monitors regulatory changes, and provides training to staff, all aimed at protecting the firm's integrity and maintaining trust with clients and regulators. Additionally, they oversee anti-money laundering (AML) efforts and ensure robust reporting mechanisms are in place to address any compliance issues.