Compliance Officer

1 week ago

Calgary, Alberta, Canada Aligned Capital Partners Inc. Full time
Job Summary

Aligned Capital Partners Inc. is a dynamic investment dealer seeking a highly skilled Regulatory Supervisor - Branch Manager to join our Client Experience Team in Calgary, Alberta. As a key member of our team, you will be responsible for ensuring that our Advisors' business practices are in compliance with applicable securities regulatory requirements and our company policies.

Key Responsibilities
  • Provide Tier 1 supervision for an assigned region of Advisors to ensure compliance with securities regulations and company policies.
  • Assist in the review and approval of offering memorandum/alternative private product purchases in accordance with applicable accreditation and eligibility regulations and company policies.
  • Work collaboratively with our Client Experience team to provide guidance on company compliance policies to individual branches under supervision.
  • Provide regular support to Advisors, respond to ad hoc Advisor requests with value-added information, ideas, and solutions.
  • Complete daily/monthly trade and account reviews while maintaining evidence of and following up on any deficiencies noted.
  • Escalate any significant client service issues, including allegations of wrongdoing and any verbal or written complaints to company Leadership.
  • Monitor registered individuals during the initial 90-Day Training Program, the 6-month supervision period, and during any periods of 'close supervision' as determined by company Senior Management.
Requirements
  • Relevant securities industry experience, with a minimum of 3 years' experience as a Branch Manager or Compliance Officer with an IIROC or MFDA dealer firm (Now CIRO) with at least 5 years of industry experience.
  • Experience with a securities commission or self-regulatory organization is considered an asset.
  • CIRO licensed currently or ability to be licensed upon hire (subject to CIRO approval).
  • Post-secondary degree/education preferably in Finance, Business, or Economics.
  • Completion of applicable securities industry courses offered by the Canadian Securities Institute, including: Canadian Securities Course, Branch Managers Course, or Investment Dealer Supervisors Course.
  • Critical thinking and sound judgment.
  • Demonstrated knowledge and understanding of the relevant securities legislation and SRO rules and regulations.
  • Ability to leverage technology to enhance analysis and execution, including working knowledge of MS Office applications, including Word, Excel, PowerPoint, and Outlook.
  • Familiarity and experience working with equities, mutual funds, and alternative investment products.
  • Ability to work independently and manage time effectively.
  • Demonstrated leadership ability.
  • Strong conflict resolution, organizational, and communication skills.

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