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Regulatory Supervisor

3 months ago

Calgary Alberta, Calgary region, Canada Aligned Capital Partners Inc. Full time

Aligned Capital Partners Inc. (ACPI) is a fast-growing investment Dealer with a dynamic team looking to expand our business exponentially. Our corporate culture encourages teamwork, service excellence, creativity, and initiative. We are currently hiring a full–time Regulatory Supervisor to join our Client Experience Team in Calgary, Alberta as the firm makes inroads in the West. We are looking for an individual who takes pride in being professional and demonstrates fantastic client service.


Position Overview

In this role, the successful candidate will provide Tier 1 supervision for an assigned region of Advisors to ensure that their business practices are in compliance with applicable securities regulatory requirements as well as ACPI supervisory and compliance policies/procedures. Our Business Integrity compliance team takes great pride in our in-depth understanding of the CIRO regulatory environment, taking a collaborative and coaching approach to provide this expertise to Advisors.


What You Will Do

  • Overall supervisory responsibility for 50-60 Investment Advisors and Portfolio Managers across Alberta and BC
  • Assist in the review and approval of offering memorandum/alternative private product purchases in accordance with applicable accreditation and eligibility regulations and ACPI Policies
  • Work collaboratively with ACPI’s Client Experience team to provide guidance on ACPI compliance policies to individual branches under supervision
  • Provide regular support to Advisors, respond to ad hoc Advisor requests with value-added information, ideas and solutions
  • Complete daily/monthly trade and account reviews while maintaining evidence of and following up on any deficiencies noted
  • Escalate any significant client service issues, including allegations of wrongdoing and any verbal or written complaints to ACPI Leadership
  • Monitor registered individuals during the initial 90-Day Training Program, the 6-month supervision period and during any periods of ‘close supervision’ as determined by ACPI Senior Management.


You Will Bring

  • Relevant securities industry experience, with minimum 3 years’ experience as a Branch Manager or Compliance Officer with an IIROC or MFDA dealer firm (Now CIRO) with at least 5 years of industry experience
  • Experience with a securities commission or self-regulatory organization is considered as asset
  • CIRO licensed currently or ability to be licensed upon hire (subject to CIRO approval)
  • Post-secondary degree/education preferably in Finance, Business or Economics
  • Completion of applicable securities industry courses offered by the Canadian Securities Institute including: Canadian Securities Course, Branch Managers Course or Investment Dealer Supervisors Course  Completion/progress towards CFA® or CIM®
  • Critical thinking and sound judgement  Demonstrated knowledge and understanding of the relevant securities legislation and SRO rules and regulations.
  • Ability to leverage technology to enhance analysis and execution including working knowledge of MS Office applications including as Word, Excel, Power Point and Outlook
  • Familiarity and experience working with equities, mutual funds and alternative investment products
  • Ability to work independently and manage time effectively
  • Demonstrated leadership ability
  • Strong conflict resolution, organizational and communication skills