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Regulatory Compliance Specialist

3 months ago

Guelph, Ontario, Canada Skyline Group of Companies Full time

We are expanding our Wealth Management division and are seeking a dedicated, motivated, and enthusiastic individual for the role of Compliance Officer.

Skyline Wealth Management, part of the Skyline Group of Companies, is a leading firm in wealth planning and investment solutions, providing clients with an exceptional investor experience and a holistic approach to unique alternative investment products and financial advisory services. This full-time role will be based at our Head Office and will report directly to the Deputy Chief Compliance Officer.

Key Responsibilities:

  • Implement policies and regulatory guidelines effectively to address compliance-related inquiries from the Wealth Management division.
  • Support the development and execution of new and revised policies and procedures for compliance initiatives and controls, ensuring adherence to relevant securities laws and National Instruments.
  • Oversee compliance and the actions of individuals representing the firm, in accordance with applicable securities legislation.
  • Conduct thorough reviews of all trades.
  • Assess KYC/KYP suitability and other regulations by analyzing applications and trading activities.
  • Maintain the registration status for the firm and its registrants.
  • Collaborate on departmental and organizational initiatives as needed.

Qualifications:

  • Excellent verbal and written communication skills in English.
  • Strong problem-solving abilities to address both routine and complex compliance challenges.
  • A proactive mindset with an optimistic approach to problem resolution.
  • At least 2 years of experience in compliance and/or investment roles within an exempt market dealer.
  • Completion of the Canadian Securities Course, Exempt Market Proficiency Course, or equivalent, or currently pursuing completion.

Why Consider This Opportunity:

  • You thrive on organization and have a keen eye for detail.
  • You are committed to following regulations and ensuring accuracy in all tasks.
  • You take pride in delivering exceptional customer service and positively impacting clients' lives daily.
  • You possess the foresight to identify potential issues before they arise and apply sound judgment and creativity to resolve them.
  • You value a workplace that promotes work-life balance and genuinely cares about employee satisfaction.
  • You seek to work for a growing organization that prioritizes environmental responsibility and social commitments.

We provide our employees with competitive compensation, benefits, a retirement savings plan matching program, paid volunteer days, ongoing training, opportunities for advancement, and much more. Our workplace culture encourages staff at all levels to engage in supporting and enhancing vibrant communities.

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