Current jobs related to Compliance Manager - Winnipeg, Manitoba - Value Partners Investments

  • Enterprise Compliance Manager

    3 weeks ago

    Winnipeg, Manitoba, Canada Cambrian Credit Union Full time

    Job SummaryCambrian Credit Union is seeking a highly skilled Enterprise Compliance Manager to join our dynamic Risk Management Team. As an integral risk management role, the Enterprise Compliance Manager is responsible for the development, maintenance, and ongoing execution of compliance management risk assessments to ensure that effective processes and...

  • Enterprise Compliance Manager

    3 weeks ago

    Winnipeg, Manitoba, Canada Cambrian Credit Union Full time

    Job SummaryCambrian Credit Union is seeking a highly skilled Enterprise Compliance Manager to join our dynamic Risk Management Team. As an integral risk management role, the Enterprise Compliance Manager is responsible for the development, maintenance, and ongoing execution of compliance management risk assessments to ensure that effective processes and...

  • Regulatory Compliance Manager

    1 month ago

    Winnipeg, Manitoba, Canada beBee Professionals Full time

    Business Compliance OfficerWe are seeking an experienced Business Compliance Officer to ensure our company's operations comply with applicable laws and regulations.Key Responsibilities:Monitor and review all business activities to ensure compliance with applicable laws and regulations.Develop and implement policies and procedures to ensure compliance with...

  • Regulatory Compliance Manager

    1 month ago

    Winnipeg, Manitoba, Canada beBee Professionals Full time

    Business Compliance OfficerWe are seeking an experienced Business Compliance Officer to ensure our company's operations comply with applicable laws and regulations.Key Responsibilities:Monitor and review all business activities to ensure compliance with applicable laws and regulations.Develop and implement policies and procedures to ensure compliance with...

  • Compliance Management Expert

    2 days ago

    Winnipeg, Manitoba, Canada Cambrian Credit Union Full time

    **About Us**Cambrian Credit Union is a locally based financial institution that prides itself on working within its community. Our five simple values guide everything we do: Integrity and Honesty; Member Focused; Competitive; Community Involvement; Innovative Spirit.We are seeking an experienced Compliance Management Expert to join our dynamic Risk...

  • Regulatory Compliance Manager

    3 weeks ago

    Winnipeg, Manitoba, Canada beBee Professionals Full time

    We are looking for a Regulatory Compliance Manager to join our team at beBee Professionals. The successful candidate will be responsible for ensuring that our company's operations comply with applicable laws and regulations. This includes monitoring and reviewing all business activities, developing and implementing policies and procedures, and providing...

  • Compliance and Risk Management Professional

    3 weeks ago

    Winnipeg, Manitoba, Canada beBee Professionals Full time

    Compliance Program Manager Job Description:beBee Professionals is seeking a Compliance Program Manager to lead the development and implementation of our compliance program. The successful candidate will have a strong background in compliance and risk management, excellent communication and organizational skills, and a Bachelor's degree in a related field.Key...

  • Senior Compliance Risk Manager

    6 hours ago

    Winnipeg, Manitoba, Canada Cambrian Credit Union Full time

    Company OverviewCambrian Credit Union is a locally based financial institution known for its commitment to working within the community. Guided by five simple values: Integrity and Honesty; Member Focused; Competitive; Community Involvement; Innovative Spirit, Cambrian aims to deliver exceptional services.About the RoleWe are seeking an experienced...

  • Compliance Officer

    2 months ago

    Winnipeg, Manitoba, Canada beBee Professionals Full time

    Business Compliance Officer **Job Summary:** We are seeking an experienced Business Compliance Officer to ensure our company's operations comply with applicable laws and regulations. **Key Responsibilities:** • Monitor and review all business activities to ensure compliance with applicable laws and regulations. • Develop and implement policies and...

  • Compliance Officer

    2 months ago

    Winnipeg, Manitoba, Canada beBee Professionals Full time

    Business Compliance Officer **Job Summary:** We are seeking an experienced Business Compliance Officer to ensure our company's operations comply with applicable laws and regulations. **Key Responsibilities:** • Monitor and review all business activities to ensure compliance with applicable laws and regulations. • Develop and implement policies and...

  • Compliance Officer

    2 months ago

    Winnipeg, Manitoba, Canada beBee Professionals Full time

    Business Compliance Officer **Job Summary:** We are seeking an experienced Business Compliance Officer to ensure our company's operations comply with applicable laws and regulations. **Key Responsibilities:** • Monitor and review all business activities to ensure compliance with applicable laws and regulations. • Develop and implement policies and...

  • Compliance Officer

    2 months ago

    Winnipeg, Manitoba, Canada beBee Professionals Full time

    Business Compliance Officer **Job Summary:** We are seeking an experienced Business Compliance Officer to ensure our company's operations comply with applicable laws and regulations. **Key Responsibilities:** • Monitor and review all business activities to ensure compliance with applicable laws and regulations. • Develop and implement policies and...

  • Compliance Associate

    1 month ago

    Winnipeg, Manitoba, Canada Value Partners Investments Full time

    Job Title: Senior Compliance AssociateWe are seeking a highly skilled Senior Compliance Associate to join our team at Value Partners Investments. As a key member of our compliance team, you will play a critical role in ensuring that our operations are in compliance with regulatory requirements and industry standards.Key Responsibilities:Conduct ongoing...

  • Compliance Associate

    1 month ago

    Winnipeg, Manitoba, Canada Value Partners Investments Full time

    Job Title: Senior Compliance AssociateWe are seeking a highly skilled Senior Compliance Associate to join our team at Value Partners Investments. As a key member of our compliance team, you will play a critical role in ensuring that our operations are in compliance with regulatory requirements and industry standards.Key Responsibilities:Conduct ongoing...

  • Compliance Associate

    4 weeks ago

    Winnipeg, Manitoba, Canada Value Partners Investments Full time

    Job Title: Senior Compliance AssociateValue Partners Investments is seeking a highly skilled Senior Compliance Associate to join our team. As a key member of our compliance department, you will play a critical role in ensuring the firm's compliance with regulatory requirements and industry standards.Key Responsibilities:Conduct ongoing compliance activities...

  • Compliance Auditor

    1 month ago

    Winnipeg, Manitoba, Canada Manitoba Government Full time

    Job Title: Compliance AuditorThe Manitoba Securities Commission is seeking a highly skilled Compliance Auditor to join our team.Job Summary:We are looking for a detail-oriented and analytical individual to perform compliance audits and ensure that registrants under The Real Estate Services Act and The Mortgage Brokers Act comply with applicable legislation...

  • Compliance Auditor

    1 month ago

    Winnipeg, Manitoba, Canada Manitoba Government Full time

    Job Title: Compliance AuditorThe Manitoba Securities Commission is seeking a highly skilled Compliance Auditor to join our team.Job Summary:We are looking for a detail-oriented and analytical individual to perform compliance audits and ensure that registrants under The Real Estate Services Act and The Mortgage Brokers Act comply with applicable legislation...

  • IT Compliance Specialist

    2 months ago

    Winnipeg, Manitoba, Canada beBee Professionals Full time

    IT Compliance Analyst RoleWe are seeking an experienced IT Compliance Analyst to ensure our organization's IT systems and processes comply with applicable laws, regulations, and standards.Key Responsibilities:Monitor and evaluate IT systems and processes for complianceDevelop and implement IT compliance policies and proceduresProvide guidance and support to...

  • IT Compliance Specialist

    2 months ago

    Winnipeg, Manitoba, Canada beBee Professionals Full time

    IT Compliance Analyst RoleWe are seeking an experienced IT Compliance Analyst to ensure our organization's IT systems and processes comply with applicable laws, regulations, and standards.Key Responsibilities:Monitor and evaluate IT systems and processes for complianceDevelop and implement IT compliance policies and proceduresProvide guidance and support to...

  • IT Compliance Specialist

    2 months ago

    Winnipeg, Manitoba, Canada beBee Professionals Full time

    BeBee Professionals IT Compliance Analyst RoleWe are seeking an experienced IT Compliance Analyst to ensure our organization's IT systems and processes comply with applicable laws, regulations, and standards.Key Responsibilities:Monitor and evaluate IT systems and processes for complianceDevelop and implement IT compliance policies and proceduresProvide...

Compliance Manager

2 months ago

Winnipeg, Manitoba, Canada Value Partners Investments Full time
Job Description

**Job Summary**

We are seeking a highly skilled Compliance Manager to join our team at Value Partners Investments. As a Compliance Manager, you will be responsible for ensuring that our investment counseling services are compliant with all applicable rules and regulations.

Key Responsibilities

  • Provide leadership and guidance to our Compliance team on all aspects of our Compliance Program.
  • Manage resources, ensure consistent protocols and guidelines are applied, identify trends, and recommend process/policy improvements and/or corrective actions.
  • Approve new client accounts and know-your-client information updates.
  • Monitor offside client household and account activity.
  • Approve marketing materials and review our website and PM microsite.
  • Monitor social media and email activity.
  • Conduct annual employee certifications and handle complaints.
  • Perform branch audits and oversee client onboarding and form reviews.
  • Review personal trading activity for Access Persons and provide Compliance employee training.
  • Supervise referral arrangements and update NRD registrations.
  • Recommend changes to our Canadian Compliance Manual and create/maintain Compliance Staff procedures.
  • Provide support for Regulatory and AML Audits and maintain CASL records.
  • Monitor, analyze, and report on the status of our Compliance Program.
  • Develop and manage effective relationships with internal business partners.
  • Continuously review and recommend changes to internal or external technology solutions and reporting.
  • Assist with the achievement of strategic initiatives and projects.
  • Provide leadership, mentoring, and performance development feedback to assigned staff.
  • Conduct training on compliance requirements and emerging issues.
  • Collaborate with our CCO/Operations on implementing new regulatory requirements.
  • Stay informed/knowledgeable of changing regulations and industry best practices.
  • Support our CCO in response to regulatory inquiries/reviews and other assigned tasks.
  • Collaborate with our CCO to address complex client situations and work towards solutions.

Qualifications

  • Minimum 5 years of experience working in progressively more senior compliance roles.
  • Nice-To-Have: Leadership experience, including staff performance, development, and coaching.
  • Post-secondary degree in a relevant business discipline.
  • Completion of the Canadian Securities Course (CSC), Branch Managers' Course (BMC), Partners, Directors, and Senior Officers Course (PDO), and Chief Compliance Officers Course (CCO).
  • A combination of education and experience will be considered.

Technical Knowledge

  • Knowledge of financial planning concepts.
  • In-depth knowledge of the financial services industry, including high proficiency in understanding provincial Securities Acts, AML regulations, and working knowledge of the bylaws, regulations, and policies of the New SRO.
  • Proficiency in the Microsoft suite of products.
  • Key ability to think strategically and critically with a view to maximizing efficiency and effectiveness of the compliance program.

Skills & Abilities

  • Effective oral and written communication skills including the ability to communicate at the right level for the audience and present information in a convincing manner.
  • Experience and interaction with senior executives and leaders on complex and material issues.
  • Excellent organizational skills with the ability to prioritize and perform multiple tasks and deal with interruptions while working within strict deadlines.
  • Excellent time management and adaptability.
  • Exceptional attention to detail.
  • Proven analytical, problem-solving, and decision-making skills.