A compliance officer is the person your brokerage puts behind its program. Compliance setup will not activate until at least one is named, and you can name more than one so oversight is co-owned rather than resting on a single person.
What an Officer Is Accountable For
The setup wizard states it plainly: compliance officers own your program and are your FINTRAC contacts. The handover step in setup splits the work, and the items your brokerage keeps include authoring the written compliance program, designating the officers themselves, delivering anti-money laundering training, the biennial effectiveness review, and the filings you submit to FINTRAC. BrokerPlus runs the screening, risk rating, enhanced due diligence workflow, alert routing and audit trail underneath.
Choosing Officers During Setup
- Open the first step of compliance setup, Designate your compliance officers.
- Tick one or more active teammates. Ticking is a toggle, so you can add and remove freely before moving on.
- Select Continue. It stays disabled until at least one officer or pending invite is selected, and activation is refused at the end for the same reason.
Inviting Someone Who Is Not on the Team Yet
Expand Invite another compliance officer, enter the address, choose Admin or Agent, then Send invite. The invite appears in the list marked as pending with the role it carries, and you tick it like any teammate. When that person accepts, they are promoted into the officer list automatically, so nothing needs redoing. An address already on the team or already invited is rejected rather than duplicated.
Changing Officers Later
Officers are not locked in by activation. On Compliance Oversight, admins open the Setup tab and use the Compliance Officers card, which sits at the top of the Appoint section. The program checklist on the Overview tab ticks the officer step off as soon as one is appointed.
Add someone with Add another officer, remove someone with Remove, then Save. Discard returns the list to what is stored. Anyone you add has to be an active user in your brokerage. Invited people who have not joined yet show greyed out until they accept.
Officer is not the same as reviewer
Changing officers does not automatically grant reviewer access. Who can review sanctions and approve enhanced due diligence is set separately, in the compliance reviewer list.
What an Officer Receives
Officers are a routing group for compliance alerts. In alert routing they appear as Compliance officers with a count of how many are designated, and by default they are emailed on urgent and normal alerts and left out of low ones. Change that per severity without changing who the officers are.
What to Do Next
- Assign Compliance Reviewers so someone can approve cases.
- What Your Compliance Program Covers if you want the full split of duties.