Compliance Officer
4 weeks ago
Summary_
Stifel Canada has a strong position in the Canadian market, has an international reach and is continuing to grow by adding top talent. The role offers an opportunity to work both independently and as a team in a fast-paced dynamic environment.
- Essential duties and responsibilities_
- Conducting tier 2 daily reviews of Stifel Canada approved person activities and ensuring the suitability of investments and other compliant trading practices;
- Completing tier 2 monthly reviews to identify trends developing in trading of specific advisors and/or client accounts with an emphasis on suitability, concentration, potential conflicts of interest and unusual transactions, conducting detailed analysis and escalating concerns to the Chief Compliance Officer;
- Communicating with Registered Representations, Compliance Officers and/or Supervisors regarding the resolution of non-compliant trading practices;
- Responding to inquiries from Stifel Canada employees;
- Upholding the standards outlined in the Stifel Canada Compliance Manual and applicable industry regulations;
- Reviewing and approving advertising and sales communications as assigned;
- Reviewing and authorizing account opening and transaction forms;
- Monitoring trading activity through Fidessa, Dataphile, NASDAQ Trade Surveillance and Portfolio Aid;
- Responsible for handling firm and individual registration related matters pertaining to the New Self-Regulatory Organization (formerly, IIROC), and CSA filings, including suitability review of registrant files as required;
- Knowledge of IRROC Rule 3600 Research rules;
- Continually evaluate the effectiveness of departmental procedures and participate in developing, maintaining and implementing changes to the policies and procedures;
- Distribute Compliance forms for new hires and review upon return for outside business activities, outside trading accounts, etc.; and
- Assist with other Compliance functions as required.
- Qualifications_
- College Diploma or University Degree;
- Minimum 2 - 3 years of collective experience in retail Compliance;
- Exercise good judgment on regulatory and supervisory issues;
- Good understanding of regulatory requirements and industry rules across Canada;
- Successful completion of the following courses is an asset: Canadian Securities Course, Conducts and Practices Handbook, Investment Dealer Supervisors Course;
- Knowledge of Fidessa, Dataphile, NASDAQ Trade Surveillance and Portfolio Aid is an asset;
- Excellent organizational skills and proven ability to prioritize and multi-task;
- Excellent written and verbal communication skills;
- Very strong technical aptitude, attention to detail and problem solving skills;
- Strong knowledge of Microsoft Office;
- Strong conflict resolution skills; and
- Ability to work independently.
About STIFEL Canada
Stifel Canada is a subsidiary of Stifel Financial Corp., a public (NYSE - SF) full-service global investment bank with over 8,500 personnel operating in Canada, the United States and Europe. This includes over 400 investment banking professionals serving the needs of growth companies through specialized expertise and strong relationships within its core industries. As a growth company itself, Stifel’s passion is in bringing the right combination of people, products and services to the table to help our clients grow and excel for the long term.
At Stifel Canada we offer an entrepreneurial environment, competitive pay, comprehensive benefits package to include health, dental, paramedical and vision care, HCSA, wellness initiatives, life insurance, and paid time off.
Inclusiveness and Equal Opportunity
Stifel Canada is committed to fostering an inclusive, fair, accessible environment, where all employees and customers feel valued, respected and supported. If you require an accommodation for the recruitment process, please let us know and we will work with you to meet your needs.
-
Compliance Officer
5 days ago
Calgary, Canada Aman Brar and Associates Full timeJob Posting: Compliance Manager We are seeking an experienced Compliance Manager to oversee all aspects of compliance for our trucking clients. The Compliance Manager will be responsible for ensuring that our company is operating in accordance with all relevant laws, regulations, and standards. **Responsibilities**: Manage all aspects of compliance for the...
-
Chief Compliance and Risk Officer
3 weeks ago
Calgary, Alberta, Canada Balance Full timeAs the Chief Compliance and Risk Officer at Balance, you will be critical in our success by ensuring full compliance with applicable laws and regulations and identifying, quantifying, and managing risk within the organization. In this role you will holistically oversee all functions of the company and enforce compliance with various policies and procedures....
-
Compliance Analyst
4 weeks ago
Calgary, Canada fasken Full timeFasken is a leading international business law and litigation firm. With over 950 lawyers and 1,100+ employees, we have offices in Vancouver, Surrey, Calgary, Tsuut’ina Nations, Toronto, Ottawa, Montréal, Québec City, London, and Johannesburg. We provide strategic and thoughtful advice in virtually all areas of business law to a broad range of clients...
-
financial compliance officer
3 weeks ago
Calgary, Canada AAA ACCOUNTING & TAX SERVICES INC. Full timeEducation: Bachelor's degreeExperience: 1 year to less than 2 yearsTasksIdentify clients' financial goals and objectivesAnalyze clients' financial recordsDevelop financial plans for clientsMake recommendations concerning cash management, insurance coverage, investment planning, retirement and estate planningReview and examine financial services and...
-
financial compliance officer
3 weeks ago
Calgary, Canada AAA ACCOUNTING & TAX SERVICES INC. Full timeEducation: Expérience: EducationBachelor's degreeTasksIdentify clients' financial goals and objectivesAnalyze clients' financial recordsDevelop financial plans for clientsMake recommendations concerning cash management, insurance coverage, investment planning, retirement and estate planningReview and examine financial services and institutions to ensure...
-
Senior Compliance, Sustainability
2 weeks ago
Calgary, Alberta, Canada FortisAlberta Inc. Full timeAPPLICATION DEADLINE: May 10, 2024TITLE: Senior Compliance, Sustainability & Risk Advisor (E DEPARTMENT: Finance WORK LOCATION/OFFICE: Calgary STATUS: 01 Full Time - Salaried NUMBER OF HIRES: 1 DESCRIPTION: Under the general direction of the Director Internal Audit Risk and Compliance and reporting to the Compliance and Privacy Officer, the Senior...
-
CIP Compliance Auditor
3 weeks ago
Calgary, Canada Alberta Electric System Operator Full timeDescription We are seeking a talented CIP Compliance Auditor, where you will focus on adding value to the Alberta Reliability Standards (ARS) compliance monitoring team in the efficient and effective execution of compliance monitoring activities. In this position, you will require solid technical knowledge and expertise in cybersecurity and Critical...
-
Compliance Specialist
6 days ago
Calgary, Canada Neo Financial Full timeAt Neo, we’re disrupting the future of finance. What matters most to us is challenging the status quo and providing a better financial future for all Canadians. We’re working every day to reinvent the way Canadians spend, save, and grow their money - all together, in one place. We’re creating a seamless digital experience, with the modern-day features...
-
Compliance Advisor
3 weeks ago
Calgary, Canada Trans Mountain Corporation Full timePress Tab to Move to Skip to Content Link Trans Mountain operates Canada’s only pipeline system transporting oil products to the West Coast. We deliver approximately 300,000 barrels of petroleum products each day through 1,150 kilometres of pipeline in Alberta and British Columbia, and 111 kilometres of pipeline in Washington state. Our Core Values...
-
Compliance Advisor
3 weeks ago
Calgary, Canada Trans Mountain Corporation Full timePress Tab to Move to Skip to Content Link Trans Mountain operates Canada’s only pipeline system transporting oil products to the West Coast. We deliver approximately 300,000 barrels of petroleum products each day through 1,150 kilometres of pipeline in Alberta and British Columbia, and 111 kilometres of pipeline in Washington state. Our Core Values...
-
Compliance Advisor
4 weeks ago
Calgary, Canada Trans Mountain Corporation Full timePress Tab to Move to Skip to Content Link Trans Mountain operates Canada’s only pipeline system transporting oil products to the West Coast. We deliver approximately 300,000 barrels of petroleum products each day through 1,150 kilometres of pipeline in Alberta and British Columbia, and 111 kilometres of pipeline in Washington state. Our Core Values...
-
Senior Compliance Officer, Investment Management
3 weeks ago
Calgary, AB, Canada Enverus Holdings, Inc. Full timeCompliance Associate Enverus is the leading energy SaaS company delivering highly technical insights and predictive/prescriptive analytics that empower customers to make decisions that increase profit. Enverus’ innovative technologies drive production and investment strategies, enable best practices for energy and commodity trading and risk management,...
-
Field Compliance Coordinator
5 days ago
Calgary, Canada GTS Geotech Full time**Field Compliance Coordinator** Data Scout has been engaged to find a highly competent Field Compliance Coordinator for a permanent hire expat opportunity within a major operator client in the Middle East. To be successful in this Field Compliance Coordinator position, you will be required to assist with planning, establishing, implementing, and...
-
Compliance Auditor, Emissions
7 days ago
Calgary, Canada Alberta Energy Regulator Full timeLocation: Calgary Head Office Employment Type: Full Time - Permanent Salary Range: SP2, Level 4, $72,080- $90,100 per year. The final compensation for this position will be determined based on individual factors, including education, qualifications, experience, and internal equity. Compliance Auditor, Emissions - Hybrid The Opportunity The Alberta...
-
Senior Compliance, Sustainability
2 weeks ago
Calgary, Canada FortisAlberta Inc. Full timeAPPLICATION DEADLINE: May 10, 2024 TITLE: Senior Compliance, Sustainability & Risk Advisor (E24-143) DEPARTMENT: Finance WORK LOCATION/OFFICE: Calgary STATUS: 01 Full Time - Salaried NUMBER...
-
Sox Compliance Summer Student
7 days ago
Calgary, Canada Inter Pipeline Full timeWe are a major energy infrastructure business that has experienced tremendous growth over the past decade. This growth has provided our employees with stability, positive challenges, new career paths and opportunities to work in a dynamic team environment. As one of Alberta’s Top 75 Employers and voted one of Canada's top 100 companies for 2023, we are...
-
Calgary, Canada FortisAlberta Full timeDESCRIPTION: Under the general direction of the Director Internal Audit Risk and Compliance and reporting to the Compliance and Privacy Officer, the Senior Compliance, Sustainability and Risk Advisor supports and advises on FortisAlberta’s compliance requirements, sustainability governance and strategy, and Enterprise Risk Management (ERM) activities of...
-
Calgary, Canada FortisAlberta Full timeDESCRIPTION: Under the general direction of the Director Internal Audit Risk and Compliance and reporting to the Compliance and Privacy Officer, the Senior Compliance, Sustainability and Risk Advisor supports and advises on FortisAlberta’s compliance requirements, sustainability governance and strategy, and Enterprise Risk Management (ERM) activities of...
-
Calgary, Canada FortisAlberta Full timeDESCRIPTION: Under the general direction of the Director Internal Audit Risk and Compliance and reporting to the Compliance and Privacy Officer, the Senior Compliance, Sustainability and Risk Advisor supports and advises on FortisAlberta’s compliance requirements, sustainability governance and strategy, and Enterprise Risk Management (ERM) activities of...
-
Compliance Advisor
3 weeks ago
Calgary, AB, Canada Trans Mountain Corporation Full timePress Tab to Move to Skip to Content Link Trans Mountain operates Canada’s only pipeline system transporting oil products to the West Coast. We deliver approximately 300,000 barrels of petroleum products each day through 1,150 kilometres of pipeline in Alberta and British Columbia, and 111 kilometres of pipeline in Washington state. Our Core Values ...
