Regulatory Compliance Specialist

4 weeks ago

Guelph, Ontario, Canada Skyline Group of Companies Full time

We are enhancing our Wealth Management division and 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 services, committed to delivering an exceptional investor experience and a holistic approach to distinctive 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 individuals acting on its behalf, in accordance with applicable securities legislation.
  • Conduct thorough reviews of all trades.
  • Evaluate KYC/KYP suitability and other regulations by assessing applications and trading activities.
  • Maintain the registration for the firm and its registrants.
  • Assist with departmental and organizational initiatives as necessary.

Qualifications:

  • Excellent verbal and written communication skills in English.
  • Strong problem-solving abilities to address both routine and complex compliance challenges.
  • A proactive attitude with the ability to approach problems with optimism.
  • At least 2 years of experience in compliance and/or investment with 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 value adherence to regulations and are meticulous in your work.
  • You are passionate about delivering outstanding customer service and making a positive impact on individuals' lives.
  • You possess the foresight to identify potential issues before they arise and excel in using sound judgment and creativity to resolve them.
  • You desire to work for an organization that prioritizes work-life balance and genuinely cares about employee satisfaction.
  • You are motivated to be part of a growing company that champions environmental responsibility and social initiatives.

We provide our employees with competitive compensation, comprehensive 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 developing vibrant communities.

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