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Job Description

Compliance Specialist

Rate TBD
Location Vancouver, BC Canada (On-site)
Type of project Administration, Business consulting & Finance Finance, Risk Management
Duration 9 months
Education required College/University
Years of experience more than 5
Type of employment N/A
Area of Specialization Business
Languages required N/A
Workhoppers Vancouver BC
Description
We are an employee-owned firm, headquartered in Vancouver with offices in Calgary and Toronto. We manage over $23 billion of assets on behalf of pension, foundation, corporate, Aboriginal, and individual clients across Canada.

We are looking for an assertive problem-solver with a keen eye for detail, familiar with the Canadian regulatory environment to join our Compliance Team. The successful candidate will be responsible for the implementation and monitoring of various aspects of compliance across the firm. This is a 9-month contract position (Paternity leave coverage), with a possibility for extension.

Job Description:

- · Assist in the development, implementation and oversight of the firm’s policies, processes, and procedures as they relate to Securities Laws and Regulations, AML, FATCA/CRS rules
- · Review and approve account opening and updates to KYC information on existing accounts
- · Ensure the firm complies with client’s investment policy statements by reviewing and escalating daily alerts generated from the compliance monitoring system
- · Perform oversight of the firm’s daily trading processes
- · Develop and enhance processes for the firm’s automated compliance monitoring system, including system maintenance, implementation, and updation
- · Perform auditing and oversight of the firm’s processes to ensure compliance with applicable laws and regulations
- · Assist in the preparation and filing of regulatory reporting
- · Develop written procedures and implement preventative internal controls
- · Support the development of Leith Wheeler's business; and perform other duties or special projects as may be assigned from time to time

Qualification and Experience:

- · Solid understanding of the Canadian securities’ regulatory environment
- · 5+ years of compliance-related experience in Financial Services
- · Proven experience with various compliance programs including NRD (National Registration Database)
- · Experience with Portfolio Management systems (with a focus on the compliance component)
- · High level of proficiency with MS Office
- · Completion of Canadian Securities Course or Chartered Financial Analyst program is an asset

Attributes for success:

- · Positively contributing to our Culture Blueprint – Character (Be Genuine), Connection (Build Relationships), and Commitment (Deliver Excellence)
- · High degree of professional ethics and integrity
- · High level of accuracy and attention to detail
- · Thrives in a team environment, and effectively contributes to the team

Company Description
Leith Wheeler Investment Counsel Ltd. is an employee-owned firm, headquartered in Vancouver with offices in Calgary and Toronto. We manage over $23 billion of assets on behalf of pension, foundation, corporate, Aboriginal, and individual clients across Canada.
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2022-09-13

-September 13, 2022
 

 

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