Wealth Compliance Specialist

1 month ago

Montreal, Quebec, Canada Accoravillage Full time
About the Role

We are seeking a highly skilled Wealth Compliance Specialist to join our team at Accoravillage. As a key member of our organization, you will play a critical role in ensuring that our business operations are in compliance with all relevant regulations and laws.

Key Responsibilities
  • Support the Branch Management Team and Advisor teams in navigating industry regulations, requirements, and best practices.
  • Ensure that the region meets all its compliance requirements as the designee for compliance and risk operations.
  • Provide advice and guidance on Compliance-related policies, processes, and other key execution activities to the branch management teams within the region.
  • Assist in enhancing the profitability, client experience, and reputation of Accoravillage by ensuring strong compliance execution and risk management in the region.
  • Support escalations and resolution on issues driven out of the daily and monthly tier-one account activity of clients and employees.
  • Review and approval of all new account documentation for suitability.
  • Marketing Approvals.
  • New Issues/Private Placement/Syndication process approvals.
  • Offer guidance on compliance policy and procedure and support to advisors and their team members.
  • Effectively communicate concerns or requirements and ensure that IA teams are following company and regulatory policies and procedures.
  • Liaise with Operations, Compliance, and Credit on Compliance-related issues where required.
  • Review advisor marketing practices and collaborate with the Marketing team to ensure proper approvals.
  • Work with Branch Manager &/or Assistant Branch Manager to manage complaints, while working with Risk & Compliance along with Legal to resolve.
  • Maintain an in-depth understanding of compliance requirements for the brokerage industry and share knowledge, issues, and challenges as well as sustain knowledge level for regulations.
  • Facilitate and participate in regular conversations with Branch Managers, National Sales, and Chief Risk Officer to share information and discuss common compliance-related issues/concerns.
  • Play a key leadership role in helping to train, develop, and enforce policy/procedure for compliance within the region to ensure alignment with firm strategy.
  • Communicate effectively within the region to ensure the strength and effectiveness of compliance and adoption of policies, processes at the branch level and develop action plans to improve compliance and overall compliance review results.
  • Act as 1st level point of escalation for compliance issues identified by the Branch, escalating to ABM and BM when applicable.
  • Participate in audits and compliance reviews as assigned and conduct follow-up and coaching as required.
Requirements
  • Excellent communication skills - written and oral.
  • In-depth relationship management skills, including problem-solving, mediation, and leadership.
  • 3 to 5 years of experience in Compliance or related experience at a CIRO regulated investment dealer.
  • Proficiency with Dataphile is an asset.
  • Proficiency with PortfolioAid is an asset.
  • Proficient with Microsoft Office Suite.
  • Exercise good judgment of regulations and supervisory issues.
  • Ability to be proactive and communicate change in a fast-paced industry.
  • Travel may be required.
Education
  • Post-secondary degree preferred.
  • Canadian Securities Course (CSC), Conduct and Practices Handbook Course (CPH), Derivatives Fundamentals Course (DFC), Options Licensing Course (OLC), and Branch Managers Course (BMC).
  • Completion of or working toward Option Supervisor Course (OPSC).
  • Licensed as Registered Representative (RR) and Supervisor with IIROC.
  • Thorough knowledge of administrative policies and procedures is an asset, namely; Operations; Human Resources; Compliance; Documentation; Finance; Commissions; Registration.

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