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Compliance Officer

4 months ago

Guelph, Canada Skyline Group of Companies Full time

We’re expanding our Wealth Management team and searching for a passionate, driven and energetic candidate for the position of Compliance Officer.

Skyline Wealth Management, a division of the Skyline Group of Companies, is a premier wealth planning and investment firm that offers clients a best-in-class investor experience, and a comprehensive approach to unique alternative investment products and financial planning services. This full-time position will be located at our Head Office in Guelph, ONandwill report to the Deputy Chief Compliance Officer.

What you will be doing:

  • Apply policies and regulatory rules appropriately to respond to compliance related inquiries from the Wealth Managementteam.
  • Assist in the creation and implementation of new and amended policies and procedures for compliance initiatives and controls, ensuring applicable securities laws and National Instruments are adhered to.
  • Monitor complianceand individuals acting on its behalf, with applicable securities legislation.
  • Perform all trade reviews.
  • Monitor KYC/KYP suitability and other rules by reviewing applications and trade activity.
  • Maintain registration for the firm and its registrants.
  • Assist with departmental and enterprise initiatives as required.

What we look for:

  • Strong oral and written communication skills in English.
  • Problem solving skills necessary to resolve routine and non-routine compliance issues.
  • A positive attitude You can handle any problem with optimism.
  • Minimum 2 years compliance and/or investment experience with an exempt market dealer.
  • Completed Canadian Securities Course, Exempt Market Proficiency Course or equivalent, or in progress of completion.

Why you want to work here:

  • You get a thrill from staying organized and details are your “thing”.
  • You believe in following the rules and mistakes never get by you.
  • You get excited aboutproviding superior customer service and from knowing that you positively impact people’s lives every day.
  • Being that person who can see the problems before they happen (think the matrix) and use good judgment and innovation to solve it is your specialty.
  • You want to work for a company that supports work-life balance and truly cares that you arehappy.
  • Workingfor a growing company that supports environmental stewardship and social responsibilities is a must for you. Learn more about our sustainability commitments here.

The Skyline Group of Companies is a fully integrated investment management organization: grounded in real estate, powered by people, and growing for the future. Every aspect of Skyline is managed with the utmost care and attention to detail, from consulting with investors to fostering a sense of community at each and every one of its properties.

We offer our employees competitive pay, benefits, RSP match program, paid volunteer day, on-going training, growth potential and so much more. Our workplace culture empowers staff at all levels to become involved in supporting and building vibrant communities.

Come be a part of Skyline –Building Careers and Communities

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