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Compliance Specialist, Asset Management
2 months ago
About the Role
We are seeking a highly skilled Compliance Officer to join our team at CWB Financial Group. As a Compliance Officer, you will play a critical role in ensuring that our organization meets all regulatory requirements and maintains a strong compliance program.
Key Responsibilities
- Support the AVP, Wealth Compliance in managing risks and ensuring adequate internal controls and compliance to regulatory requirements.
- Assist in the management of personal trading, monthly and quarterly reporting, and employee training.
- Conduct suitability reviews, IPS monitoring, and review fund disclosure documents.
- Assist with annual attestations, compliance audits, and assurance reporting.
- Collaborate on compliance policies, procedures, and marketing-related material approvals.
- Work with Operations/Trading for reporting on the best execution, trade allocation, and errors.
- Participate in annual AML controls testing, broader compliance initiatives, and continuous improvement projects.
Requirements
- Post-secondary diploma or degree in a related field, and/or equivalent experience.
- Completion of Canadian Securities Course (CSC).
- Two (2) or more years of compliance experience within an asset management firm.
- Demonstrated knowledge and understanding of securities regulatory requirements and compliance functions.
- Familiar with securities legislation (incl. NI 31-103, NI and more).
- Fundamental understanding of client business operations and transactions in a portfolio manager.
What We Offer
- Award-winning benefits package that includes hybrid work environments, everyday flexibility, company-funded health coverage, health care spending account, a flexible wellness program, and generous time-away options.
- Organization-wide coaching services, mentorship, education support & training programs.
- Inclusion is a journey requiring practice & experience to result in a powerful outcome. Your perspective matters & voice will be heard. Find community within the CWB family in our employee represented groups.
