Compliance Administrator

Who we are:

Harbourfront Wealth is a dynamic industry leader specializing in financial services and wealth management. We are a fast-growing CIRO registered securities dealer with over 10 billion in assets. The firm provides financial services and holistic wealth management solutions for mid to high-net-worth individuals. At Harbourfront Wealth, our core values start with the belief that great people make great companies. Our head office is in downtown Vancouver with over 49 branches across Canada.

Career opportunity

We currently have a career opportunity for a Compliance Administrator. We are looking for a highly motivated, collaborative, detail-oriented candidate to join our Compliance team. This role contributes to the success of the compliance department while providing prompt and accurate service to internal clients. The ideal candidate will assist in promoting a culture of compliance in the firm through their daily tasks and responsibilities. We are looking for an ambitious candidate who has a passion for providing high quality customer service, and is eager to expand their career in compliance, credit, and registrations. This role will be based out of our head office in Vancouver, BC.

You will be responsible for:

- Product Shelf Administration

- Assist in the ongoing management of the dealer’s product shelf, including the review and documentation of fund issuer materials to support tracking and audit readiness;

- Maintain accurate and up-to-date records related to product shelf activities, with a focus on precision and completeness;

- Respond to product-related inquiries from internal stakeholders and ensure timely resolution and documentation of outcomes;

- Support maintenance of product shelf records with attention to finer details and minutia;

- Respond to various product inquiries and track to resolution;

- S. Affiliate Compliance Support

- Coordinate the retrieval and preparation of monthly and quarterly compliance reports for supervisory review;

- Serve as a point of contact for inquiries related to the U.S. affiliate, ensuring responses are aligned with internal protocols and regulatory expectations;

- Communications monitoring

- Support the review of digital communications, including social media and website content, to ensure alignment with firm policies and regulatory standards;

- Document review activities and elevate findings as appropriate;

- General Compliance Support

- Provide administrative assistance across various compliance functions as assigned, including support for audits, regulatory filings, and internal reporting;

- Contribute to the development and maintenance of compliance documentation and workflows.

The ideal candidate for this position has:

- 2 + years of financial service industry experience;

- Completion of Canadian Securities Course is an asset;

- Familiar with brokerage back-office operations, objectives, and initiatives;

- High level of interpersonal skills, critical thinking, and ability to operate in a dynamic, fast-paced environment;

- Exceptional written and verbal communication skills;

- Strong analytical skills, along with a keen eye for detail;

- Demonstrated ability to prioritize, multitask, work within time constraints and follow-up;

- Effective team player, positive attitude, and strong collaboration skills;

- Proficiency with MS Office applications.

Salary Range

$50,000- $60,000 per annum (actual salary offered will be commensurate with education, experience, and internal parity).

Diversity and Inclusion

Diversity is an important value to us. We are committed to providing equal opportunities in employment and to providing a workplace which is free from discrimination and harassment. This means that all job applicants and employees will receive equal treatment regardless of race, colour, ethnic or national origins, sex, marital status, disability, age, sexual orientation, religion, or belief.

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