Compliance Officer

6 days ago

Vancouver, Canada Canaccord Genuity Corp. Full time

**Compliance Officer, Compliance**

**Vancouver - Job #7071**

**Summary**:
Canaccord Genuity (CG) is a leading independent full-service financial services firm, with operations in two principal segments of the securities industry: wealth management and capital markets. CG is driven by an unwavering commitment to build lasting client relationships - we achieve this by generating value for our individual, institutional, and corporate clients through comprehensive wealth management solutions and investment banking services. We are a leading independent wealth management firm in Canada, and the leading mid-market provider of investment banking advisory, equity research, sales and trading services for corporations and institutions.

We pride ourselves on understanding our clients’ needs and finding innovative, bespoke solutions. Our entrepreneurial and friendly team will challenge you to learn and grow every day. We value great work and collaboration and strive to eliminate bureaucratic thinking. We’re looking for talented people who thrive in a fast-paced environment and want to have an impact with innovative ideas and best practices.

Our Canadian operation, Canaccord Genuity Corp., is currently looking for an experienced Compliance Officer to join us in Vancouver. The Compliance Officer will contribute to the regulatory control of Canaccord Genuity by providing the highest standard of integrity for the firm and its clients. This is a full-time permanent position.

**Responsibilities**:

- Continually observe electronic communication’s filter for possible rule violations and follow up with necessary measures if any identified;
- Examination/approval of websites, advertising and marketing material for external distribution;
- Provide support to VPs, Compliance for communication needs;
- Develop processes & procedures to remain compliant with regulatory requirements to prevent regulatory penalties;
- Perform time-sensitive tasks (e.g. year end audit inquiries, client complaint files) quickly in response to regulatory and client inquiries;
- Handle internal and external queries efficiently to promote business and in turn profitability;
- Document queries and the result of such for reference purposes in order to target and resolve potential deficiencies.

**Skills & Qualifications**:

- A minimum of 5 years of experience in the securities industry, with a solid understanding of IIROC regulations;
- Must be appointable as a Designated Supervisor or take required courses to achieve designation;
- Completion of or willingness to complete the Canadian Securities Course, Investment Dealer Supervisors Course, Derivative Fundamentals and Options Licensing Course, Options Supervisors Course an asset;
- Working knowledge of anti-money laundering regulations;
- Experience and knowledge of legal documentation for institutions, corporations, trusts and other legal entities;
- Previous experience with drafting new processes and procedures;
- Strong proficiency in Microsoft Office;
- Ability to work in a fast-paced, high volume environment;
- Ability to take initiative, and adapt to change;
- Client service oriented with the ability to deal with difficult situations and demonstrate flexibility;
- Excellent teamwork, co-operation and interpersonal understanding skills;
- Strong supervision and leadership skills;
- Strong organizational and information seeking skills; with the ability to problem-solve and demonstrate sound judgment.

  • Compliance Officer

    3 weeks ago

    Vancouver, Canada Haywood Securities Inc. Full time

    **About Haywood** Haywood Securities is an investment firm that values its independence and its entrepreneurial spirit. Our analysts and advisors seek proven management in young companies that are built around fresh ideas with the potential for rapid growth in the energy, mining, technology and special situation sectors. Haywood offers these investment...

  • Compliance Officer

    7 months ago

    Vancouver, Canada Insurance Council of BC Full time

    The Insurance Council of British Columbia is the regulatory organization that licenses and regulates the activities of over 45,000 life and general insurance agents, general insurance salespersons, insurance adjusters, and restricted travel insurance agents in British Columbia. **Why Work for the Insurance Council?** Work with a great team of people in a...

  • Compliance Officer

    7 months ago

    Vancouver, Canada Insurance Council of BC Full time

    The Insurance Council of British Columbia is the regulatory organization that licenses and regulates the activities of over 50,000 life and general insurance agents, general insurance salespersons, insurance adjusters, and restricted travel insurance agents in British Columbia. **Why Work for the Insurance Council?** Work with a great team of people in a...

  • Compliance Officer

    7 months ago

    Vancouver, Canada Haywood Securities Inc. Full time

    **About Haywood** Haywood Securities is an investment firm that values its independence and its entrepreneurial spirit. Our analysts and advisors seek proven management in young companies that are built around fresh ideas with the potential for rapid growth in the energy, mining, technology and special situation sectors. Haywood offers these investment...

  • Compliance Officer

    3 months ago

    Vancouver, Canada Raymond James Financial, Inc. Full time

    **Compliance Officer** - 2403305 - At Raymond James, _**_we _**_develop, _**_we _**_collaborate, _**_we _**_decide, _**_we _**_deliver, and _**_we _**_improve together_. Raymond James Ltd. is Canada’s leading independent investment dealers offering high quality investment products and services to Canadians seeking customized solutions to their wealth...

  • Chief Compliance Officer

    6 days ago

    Vancouver, Canada Central 1 Credit Union Full time

    Central 1 cooperatively empowers credit unions and other financial institutions to deliver banking choice to Canadians. Central 1 provides critical services at scale to enable a thriving credit union system. We do this by collaborating with our clients, developing strategies, products and services to support the financial well-being of their more than 5...

  • Compliance Officer

    7 months ago

    Vancouver, Canada Vault Credit Corporation Full time

    **Who we are** Vault is a non-bank private lending company offering a wide array of financial services such as mortgage, equipment leasing and lending products. Vault has a devoted team of experts with years of experience in both financial services and real estate. We deliver products and services that meet our borrowers' diverse needs quicker and easier...

  • Compliance Officer

    3 months ago

    North Vancouver, British Columbia, Canada beBee Professionals Full time $45,000 - $60,000

    beBee Professionals in North Vancouver is seeking a Compliance Officer to maintain accurate financial records, handle accounts payable and receivable, and ensure the integrity of our accounting practices.Key Responsibilities:Manage and maintain financial records, including ledgers, invoices, and statements.Reconcile bank statements and monitor cash...

  • Compliance Officer

    3 months ago

    West Vancouver, British Columbia, Canada beBee Professionals Full time $45,000 - $60,000

    We are seeking a Compliance Officer to join our finance team at beBee Professionals in West Vancouver. In this role, you will be responsible for maintaining accurate financial records, handling accounts payable and receivable, and ensuring the integrity of our accounting practices.Key Responsibilities:Manage and maintain financial records, including ledgers,...

  • Compliance & Privacy Officer

    7 months ago

    Vancouver, Canada Praxis Institute Full time

    Praxis Spinal Cord Institute is a Canadian-based not-for-profit organization that leads global collaboration in spinal cord injury research, innovation and care. We advance ground-breaking ideas that can be put into practice, making lives better. We actively engage people with spinal cord injury and other world-class experts to work together to identify and...

  • Compliance & Privacy Officer

    4 months ago

    Vancouver, Canada Praxis Institute Full time

    Praxis Spinal Cord Institute is a Canadian-based not-for-profit organization that leads global collaboration in spinal cord injury research, innovation and care. We advance ground-breaking ideas that can be put into practice, making lives better. We actively engage people with spinal cord injury and other world-class experts to work together to identify and...

  • Chief Compliance Officer

    2 months ago

    Vancouver, Canada Enoch Wealth Inc. Full time

    **Reporting To**: CEO **Summary**: Enoch Wealth is an Exempt Market Dealer registered with the BC, AB, and ON Securities Commission. Founded in 2015, our team has extensive knowledge and experience in identifying and accessing a diverse range of investment opportunities across North America. With extensive experience and knowledge covering various fields...

  • Aml Compliance Officer

    2 months ago

    Vancouver, Canada Raymond James Financial, Inc. Full time

    **AML Compliance Officer** - 2403384 - At Raymond James, _**_we _**_develop, _**_we _**_collaborate, _**_we _**_decide, _**_we _**_deliver, and _**_we _**_improve together_. Raymond James Ltd. is Canada’s leading independent investment dealers offering high quality investment products and services to Canadians seeking customized solutions to their wealth...

  • Chief Compliance Officer

    6 months ago

    Vancouver, Canada Agentis Capital Full time

    **Our Firm**: Agentis Capital a fast-growing, global independent financial firm with a leading reputation for insightful analysis and exceptional execution. Agentis is dedicated to providing our clients with transparent, comprehensive financial services that unlock value at every stage. We advise across a multitude of sectors and geographies, for global...

  • Chief Compliance Officer

    7 months ago

    Vancouver, Canada Agentis Capital Full time

    **Our Firm**: Agentis Capital a fast-growing, global independent financial firm with a leading reputation for insightful analysis and exceptional execution. Agentis is dedicated to providing our clients with transparent, comprehensive financial services that unlock value at every stage. We advise across a multitude of sectors and geographies, for global...

  • Compliance Officer

    1 week ago

    Vancouver, Canada BCFSA Full time

    **Job Description**: The BC Financial Services Authority (BCFSA) protects British Columbians during their most important financial transactions. We regulate BC ’s financial services market, including credit unions, trust companies, registered pension plans, insurance companies and mortgage brokers. We uphold public confidence by impartially setting and...

  • Compliance Officer

    6 days ago

    Vancouver, Canada BCFSA Full time

    **Job Description**: The BC Financial Services Authority (BCFSA) protects British Columbians during their most important financial transactions. We regulate BC ’s financial services market, including credit unions, trust companies, registered pension plans, insurance companies and mortgage brokers. We uphold public confidence by impartially setting and...

  • AML Compliance Officer

    4 weeks ago

    Vancouver, Canada Disability Solutions Full time

    At Raymond James, we develop, we collaborate, we decide, we deliver, and we improve together.Raymond James Ltd. is Canada's leading independent investment dealers offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs. AML Compliance OfficerHow does the role impact the organization?...

  • Account Maintenance and Compliance Officer

    3 weeks ago

    Vancouver, British Columbia, Canada Disability Solutions Full time

    Job SummaryAs an Account Maintenance and Compliance Officer at Disability Solutions, you will play a vital role in maintaining accurate client profile information and ensuring compliance with regulatory requirements. This is a dynamic opportunity for someone who enjoys working in a fast-paced environment and is passionate about delivering excellent client...

  • Compliance Analyst

    7 months ago

    Vancouver, Canada Connor, Clark & Lunn Financial Group Full time

    **Compliance Analyst** **Connor, **Clark & Lunn Investment Management Ltd.** **Vancouver, BC** We are looking for a Compliance Analyst to join our growing Compliance Team at Connor, Clark & Lunn Investment Management. Compliance plays a critical role in our firm and in this position, you will have the opportunity to work with our Chief Compliance Officer,...