Compliance Officer, Wealth Management

2 months ago

Edmonton, Alberta, Canada CWB Financial Group Full time
Job Title: Compliance Officer, Wealth

We are seeking a highly skilled Compliance Officer to join our Wealth team. As a key member of our compliance function, you will play a critical role in ensuring that our investment funds and operations are in compliance with regulatory requirements.

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.
Why Work with Us?
  • We offer a comprehensive benefits package, including hybrid work environments, everyday flexibility, company-funded health coverage, and a flexible wellness program.
  • We commit to our employees' development and help them reach their professional goals with organization-wide coaching services, mentorship, education support, and training programs.
  • We value diversity and inclusion, and we welcome candidates from all backgrounds to join our team.

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