Regulatory Supervisor
3 weeks ago
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**
**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
- 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.
- 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
**What We Bring**
We are committed to a positive employee experience fostered through an open and collaborative work environment. We offer you:
- Competitive compensation
- Recognition of your accomplishments
- Communication and feedback
- Investment in your training and development
- Commitment to your health and well-being
- Culture of inclusion, diversity, and positivity
Aligned Capital Partners Inc. is an equal opportunity employer. If you require any accommodation to fully participate in our recruitment process, please call 1-800-561-4368 and ask for Human Resources.
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