Compliance Operations Manager

2 days ago

Canada ZLC WEALTH INC. Full time

About ZLC Wealth

">

ZLC Wealth Inc. is a dynamic financial services company seeking a highly skilled Compliance Operations Manager to join our team.

">

Job Summary:

">
  • ">
  • This role will report directly to the President of ZLC Wealth and be responsible for supporting all aspects of the Compliance Division, including automating procedures, reviewing compliance regulations, and assisting with technological advancements.">
  • The successful candidate will work closely with the Advisors to ensure compliance issues are addressed promptly and effectively.">
  • This is an exciting opportunity for a talented professional to make a significant impact on the organization's compliance efforts.">
">

Key Responsibilities:

">
  1. ">
  2. Reporting to the President/Chief Compliance Officer: Collaborate with the team to maintain compliance regulations, update policies and procedure manuals, review marketing materials, investigate client concerns, and resolve trade error handlings.">
  3. Reviewing and Approving Documentation: Review new account documentation, KYC forms, and Investment Policy Statements, and resolve deficiencies when applicable.">
  4. Regulatory Advice: Advise on regulatory changes, policy updates, and compliance requirements to ensure continuous improvement of business operations.">
  5. Compliance Training: Coordinate the compliance and AML training process for employees and associates by facilitating mandatory training sessions, reviewing reports, ensuring module completion, and updating required portals.">
  6. Participation in Committees: Participate in the Investment Oversight Committee and other required groups to conduct due diligence reviews when considering new products or services and streamline processes.">
  7. Maintaining Files and Policies: Maintain, review, and update various files and policies, including NRD files, outside business activities, Business Continuity Plan, Daily Transaction Report, and Referral Agreements in collaboration with associates and other team members.">
  8. Project Management: Lead project management efforts for the implementation of new compliance technologies, ensuring alignment with regulatory requirements and organizational goals.">
  9. Cross-Functional Collaboration: Collaborate with cross-functional teams to identify process improvement opportunities, develop project plans, and oversee execution to enhance compliance efficiency and effectiveness.">
  10. Monitoring Project Timelines: Monitor project timelines and deliverables, providing regular updates to stakeholders and adjusting strategies as needed to achieve successful outcomes.">
  11. Training Sessions: Facilitate training sessions and workshops to ensure smooth adoption of new tools and processes within the compliance team and related departments.">
">

Requirements:

">
  • ">
  • A minimum of 5 years' experience in compliance roles within the wealth management industry.">
  • Bachelor's or Master's degree in a related field, such as Business Administration, Finance, Accounting, or Economics.">
  • Robust knowledge and experience with Investment Policy Statements, discretionary accounts, AML regulations, and training and legal documents.">
  • Proficiency in computer applications and systems, including Microsoft Office, NRD, CRM systems, Dataphile, and portfolio management software.">
  • Strong leadership skills with the ability to cultivate long-term partnerships, influence strategic decision-making, and foster positive team dynamics.">
  • Exceptional communication and problem-solving skills, with experience navigating complex situations in fast-paced environments and conveying compliance requirements in an engaging and approachable manner.">
  • A strong understanding of relevant regulatory requirements and compliance standards.">
">

Salary Range: $115,000 - $130,000

  • IT Infrastructure Manager

    2 days ago

    Canada Manager – IT Full time

    Job TitleManager – IT Infrastructure - Bilingual (English and French)About the JobWe are seeking a highly skilled and experienced IT Infrastructure Manager to join our team in Ottawa, Ontario. As a key member of our technology department, you will be responsible for managing and maintaining our IT infrastructure, ensuring seamless operations and efficient...

  • Compliance Expert for Payment Operations

    2 days ago

    Canada UnionPay International Full time

    UnionPay International is committed to growing and shaping the global payment industry. We are currently seeking a seasoned Compliance Expert to support our payment operations in Canada.This role is a critical part of our compliance team, responsible for ensuring our operations meet local regulatory requirements. The ideal candidate will have a strong...

  • Compliance Manager

    6 months ago

    Canada Richter Full time

    **Richter Montreal Office** **Overview** Richter is a Business | Family Office that provides strategic advice on business matters and on families’ financial and personal objectives across generations. With close to 100 years of experience advising at the intersection of family and business, Richter has developed an integrated approach to help business...

  • Environmental Compliance Manager

    6 days ago

    Canada TRS Staffing Solutions Full time

    Job Title: Environmental Compliance ManagerWe are seeking a highly experienced Environmental Compliance Manager to join our client's team in Canada.About the Company

  • Risk Management and Compliance Specialist

    2 days ago

    Canada Tata Consultancy Services Full time

    Tata Consultancy Services (TCS) is a leading IT services, consulting, and business solutions organization. We are committed to delivering exceptional results for our clients across various industries.We are currently seeking a highly skilled Risk Management and Compliance Specialist to join our team in Canada.As a Risk Management and Compliance Specialist,...

  • Compliance & Regulatory Affairs Manager

    2 weeks ago

    Canada Willson International Limited Full time

    The Manager, Compliance & Regulatory Affairs will oversee the day-to-day operation of the Regulatory and Compliance department, while providing answers and support to clients (internal and external) of a technical nature, including integration inquiries and general account set up. Ensure that new regulations issued by CBSA are communicated, implemented and...

  • Compliance Expert for Securities Regulatory Compliance

    2 days ago

    Canada PearTree Canada Full time

    Senior Associate, CompliancePearTree Canada is seeking a highly skilled Senior Associate to join our team responsible for ensuring the company's business operations and transactions adhere to relevant legal and internal rules. This role focuses primarily on securities regulatory compliance for PearTree Securities Inc., a registered dealer and fund...

  • Compliance Expert for Canadian Payroll Operations

    1 week ago

    Canada GoEasyCare Full time

    Company OverviewAt GoEasyCare, we prioritize quality and usability in our Healthcare Services Scheduling & Management Solution. Our team is passionate about delivering exceptional results.Salary and BenefitsThe estimated salary for this role ranges from $50,000 to $55,000 per year. As a remote position, you can enjoy the flexibility of working from home...

  • Compliance & Regulatory Affairs Manager

    2 weeks ago

    Canada, CA Willson International Limited Full time

    The Manager, Compliance & Regulatory Affairs will oversee the day-to-day operation of the Regulatory and Compliance department, while providing answers and support to clients (internal and external) of a technical nature, including integration inquiries and general account set up. Ensure that new regulations issued by CBSA are communicated, implemented and...

  • Compliance & Regulatory Affairs Manager

    2 weeks ago

    Canada Willson International Limited Full time

    The Manager, Compliance & Regulatory Affairs will oversee the day-to-day operation of the Regulatory and Compliance department, while providing answers and support to clients (internal and external) of a technical nature, including integration inquiries and general account set up. Ensure that new regulations issued by CBSA are communicated, implemented and...

  • Compliance & Regulatory Affairs Manager

    2 weeks ago

    Canada Willson International Limited Full time

    The Manager, Compliance & Regulatory Affairs will oversee the day-to-day operation of the Regulatory and Compliance department, while providing answers and support to clients (internal and external) of a technical nature, including integration inquiries and general account set up. Ensure that new regulations issued by CBSA are communicated, implemented and...

  • Compliance & Regulatory Affairs Manager

    2 weeks ago

    Canada Willson International Limited Full time

    The Manager, Compliance & Regulatory Affairs will oversee the day-to-day operation of the Regulatory and Compliance department, while providing answers and support to clients (internal and external) of a technical nature, including integration inquiries and general account set up. Ensure that new regulations issued by CBSA are communicated, implemented and...

  • Drilling Operations and Compliance Specialist

    2 days ago

    Canada Western Drilling Tools Inc. Full time

    Western Drilling Tools Inc. is a leading Canadian manufacturer of high-quality drilling tools and equipment.We excel in designing, manufacturing, and distributing drilling tools, and in finding custom solutions for our valued clients.The ideal candidate will be an experienced professional with 5–10 years of experience in a combined HR and safety role,...

  • Logistics Compliance Specialist

    2 days ago

    Canada MEDLOG Transport & Logistics Full time

    MEDLOG Transport & Logistics is a one-stop shop for global inland solutions, offering customizable logistics services to help customers get their goods to market rapidly and efficiently.We are seeking a detail-oriented and experienced Compliance Officer to support compliance activities at MEDLOG Transport & Logistics.Key Responsibilities:Ensure the...

  • Compliance and Payroll Expert

    1 week ago

    Canada GoEasyCare Full time

    Job Title: Compliance and Payroll ExpertAbout Us:At GoEasyCare, we prioritize our customers' needs by focusing on their experience. Our mission is to simplify healthcare scheduling and management through intuitive solutions.Key Responsibilities:We seek a seasoned Payroll Compliance Specialist with Canadian Payroll Compliance Professional (PCP) designation to...

  • Payroll Compliance Specialist

    2 days ago

    Canada GoEasyCare Full time

    **Overview of the Role**We are seeking an experienced Payroll Compliance Specialist to join our team at GoEasyCare, a dedicated Healthcare Services Scheduling & Management Solution. As a key member of our payroll department, you will play a vital role in ensuring our operations align with all Canadian laws and regulations.**Key Responsibilities**Monitor and...

  • Payroll Compliance Professional

    4 weeks ago

    Canada GoEasyCare Full time

    Open to candidates residing in the following provincesManitobaAlbertaBritish ColumbiaCompany BackgroundAt GoEasyCare, we follow a simple but vital premise: "Focus on the customer and the rest will follow." GoEasyCare is a dedicated Healthcare Services Scheduling & Management Solution that takes complex tasks and makes them intuitive and easy-to-use for the...

  • Payroll Compliance Professional

    3 weeks ago

    Canada GoEasyCare Full time

    Open to candidates residing in the following provinces Manitoba Alberta British Columbia Company Background At GoEasyCare, we follow a simple but vital premise: "Focus on the customer and the rest will follow." GoEasyCare is a dedicated Healthcare Services Scheduling & Management Solution that takes complex tasks and makes them intuitive and easy-to-use...

  • Payroll Compliance Professional

    3 weeks ago

    Canada GoEasyCare Full time

    Open to candidates residing in the following provincesManitobaAlbertaBritish ColumbiaCompany BackgroundAt GoEasyCare, we follow a simple but vital premise: "Focus on the customer and the rest will follow." GoEasyCare is a dedicated Healthcare Services Scheduling & Management Solution that takes complex tasks and makes them intuitive and easy-to-use for the...

  • Compliance Analyst

    3 weeks ago

    Canada PrecisionERP Incorporated Full time

    POSITION e-Invoicing compliance Analyst CONTRACT full-time as an independent incorporated consultant DURATION 1 year renewable based on performance LOCATION Remote from Canada REQUIRE Must have expertise in e-invoicing regulations and compliance Strong research and analytical skills, especially in governmental mandates Excellent communication and...