Compliance Specialist, Asset Management

1 week ago

Edmonton, Alberta, Canada CWB Financial Group Full time

About the Role

We are seeking a highly skilled Compliance Officer to join our team at CWB Financial Group. As a Compliance Officer, you will play a critical role in ensuring that our organization meets all regulatory requirements and maintains a strong compliance program.

Key Responsibilities

  • Support the AVP, Wealth Compliance in managing risks and ensuring adequate internal controls and compliance to regulatory requirements.
  • Assist in the management of personal trading, monthly and quarterly reporting, and employee training.
  • Conduct suitability reviews, IPS monitoring, and review fund disclosure documents.
  • Assist with annual attestations, compliance audits, and assurance reporting.
  • Collaborate on compliance policies, procedures, and marketing-related material approvals.
  • Work with Operations/Trading for reporting on the best execution, trade allocation, and errors.
  • Participate in annual AML controls testing, broader compliance initiatives, and continuous improvement projects.

Requirements

  • Post-secondary diploma or degree in a related field, and/or equivalent experience.
  • Completion of Canadian Securities Course (CSC).
  • Two (2) or more years of compliance experience within an asset management firm.
  • Demonstrated knowledge and understanding of securities regulatory requirements and compliance functions.
  • Familiar with securities legislation (incl. NI 31-103, NI and more).
  • Fundamental understanding of client business operations and transactions in a portfolio manager.

What We Offer

  • Award-winning benefits package that includes hybrid work environments, everyday flexibility, company-funded health coverage, health care spending account, a flexible wellness program, and generous time-away options.
  • Organization-wide coaching services, mentorship, education support & training programs.
  • Inclusion is a journey requiring practice & experience to result in a powerful outcome. Your perspective matters & voice will be heard. Find community within the CWB family in our employee represented groups.

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