Current jobs related to Compliance Officer - Vancouver - ZLC WEALTH INC.

  • Compliance Officer

    3 weeks ago

    Vancouver, Canada Haywood Securities Inc. Full time

    **About Haywood** Haywood Securities is an investment firm that values its independence and its entrepreneurial spirit. Our analysts and advisors seek proven management in young companies that are built around fresh ideas with the potential for rapid growth in the energy, mining, technology and special situation sectors. Haywood offers these investment...

  • Compliance Officer

    5 days ago

    Vancouver, Canada Canaccord Genuity Corp. Full time

    **Compliance Officer, Compliance** **Vancouver - Job #7071** **Summary**: Canaccord Genuity (CG) is a leading independent full-service financial services firm, with operations in two principal segments of the securities industry: wealth management and capital markets. CG is driven by an unwavering commitment to build lasting client relationships - we...

  • Compliance Officer

    7 months ago

    Vancouver, Canada Insurance Council of BC Full time

    The Insurance Council of British Columbia is the regulatory organization that licenses and regulates the activities of over 45,000 life and general insurance agents, general insurance salespersons, insurance adjusters, and restricted travel insurance agents in British Columbia. **Why Work for the Insurance Council?** Work with a great team of people in a...

  • Compliance Officer

    7 months ago

    Vancouver, Canada Insurance Council of BC Full time

    The Insurance Council of British Columbia is the regulatory organization that licenses and regulates the activities of over 50,000 life and general insurance agents, general insurance salespersons, insurance adjusters, and restricted travel insurance agents in British Columbia. **Why Work for the Insurance Council?** Work with a great team of people in a...

  • Compliance Officer

    7 months ago

    Vancouver, Canada Haywood Securities Inc. Full time

    **About Haywood** Haywood Securities is an investment firm that values its independence and its entrepreneurial spirit. Our analysts and advisors seek proven management in young companies that are built around fresh ideas with the potential for rapid growth in the energy, mining, technology and special situation sectors. Haywood offers these investment...

  • Compliance Officer

    3 months ago

    Vancouver, Canada Raymond James Financial, Inc. Full time

    **Compliance Officer** - 2403305 - At Raymond James, _**_we _**_develop, _**_we _**_collaborate, _**_we _**_decide, _**_we _**_deliver, and _**_we _**_improve together_. Raymond James Ltd. is Canada’s leading independent investment dealers offering high quality investment products and services to Canadians seeking customized solutions to their wealth...

  • Chief Compliance Officer

    5 days ago

    Vancouver, Canada Central 1 Credit Union Full time

    Central 1 cooperatively empowers credit unions and other financial institutions to deliver banking choice to Canadians. Central 1 provides critical services at scale to enable a thriving credit union system. We do this by collaborating with our clients, developing strategies, products and services to support the financial well-being of their more than 5...

  • Compliance Officer

    7 months ago

    Vancouver, Canada Vault Credit Corporation Full time

    **Who we are** Vault is a non-bank private lending company offering a wide array of financial services such as mortgage, equipment leasing and lending products. Vault has a devoted team of experts with years of experience in both financial services and real estate. We deliver products and services that meet our borrowers' diverse needs quicker and easier...

  • Compliance Officer

    2 months ago

    North Vancouver, British Columbia, Canada beBee Professionals Full time $45,000 - $60,000

    beBee Professionals in North Vancouver is seeking a Compliance Officer to maintain accurate financial records, handle accounts payable and receivable, and ensure the integrity of our accounting practices.Key Responsibilities:Manage and maintain financial records, including ledgers, invoices, and statements.Reconcile bank statements and monitor cash...

  • Compliance Officer

    2 months ago

    West Vancouver, British Columbia, Canada beBee Professionals Full time $45,000 - $60,000

    We are seeking a Compliance Officer to join our finance team at beBee Professionals in West Vancouver. In this role, you will be responsible for maintaining accurate financial records, handling accounts payable and receivable, and ensuring the integrity of our accounting practices.Key Responsibilities:Manage and maintain financial records, including ledgers,...

  • Compliance & Privacy Officer

    7 months ago

    Vancouver, Canada Praxis Institute Full time

    Praxis Spinal Cord Institute is a Canadian-based not-for-profit organization that leads global collaboration in spinal cord injury research, innovation and care. We advance ground-breaking ideas that can be put into practice, making lives better. We actively engage people with spinal cord injury and other world-class experts to work together to identify and...

  • Compliance & Privacy Officer

    4 months ago

    Vancouver, Canada Praxis Institute Full time

    Praxis Spinal Cord Institute is a Canadian-based not-for-profit organization that leads global collaboration in spinal cord injury research, innovation and care. We advance ground-breaking ideas that can be put into practice, making lives better. We actively engage people with spinal cord injury and other world-class experts to work together to identify and...

  • Chief Compliance Officer

    2 months ago

    Vancouver, Canada Enoch Wealth Inc. Full time

    **Reporting To**: CEO **Summary**: Enoch Wealth is an Exempt Market Dealer registered with the BC, AB, and ON Securities Commission. Founded in 2015, our team has extensive knowledge and experience in identifying and accessing a diverse range of investment opportunities across North America. With extensive experience and knowledge covering various fields...

  • Aml Compliance Officer

    2 months ago

    Vancouver, Canada Raymond James Financial, Inc. Full time

    **AML Compliance Officer** - 2403384 - At Raymond James, _**_we _**_develop, _**_we _**_collaborate, _**_we _**_decide, _**_we _**_deliver, and _**_we _**_improve together_. Raymond James Ltd. is Canada’s leading independent investment dealers offering high quality investment products and services to Canadians seeking customized solutions to their wealth...

  • Chief Compliance Officer

    6 months ago

    Vancouver, Canada Agentis Capital Full time

    **Our Firm**: Agentis Capital a fast-growing, global independent financial firm with a leading reputation for insightful analysis and exceptional execution. Agentis is dedicated to providing our clients with transparent, comprehensive financial services that unlock value at every stage. We advise across a multitude of sectors and geographies, for global...

  • Chief Compliance Officer

    7 months ago

    Vancouver, Canada Agentis Capital Full time

    **Our Firm**: Agentis Capital a fast-growing, global independent financial firm with a leading reputation for insightful analysis and exceptional execution. Agentis is dedicated to providing our clients with transparent, comprehensive financial services that unlock value at every stage. We advise across a multitude of sectors and geographies, for global...

  • Compliance Officer

    7 days ago

    Vancouver, Canada BCFSA Full time

    **Job Description**: The BC Financial Services Authority (BCFSA) protects British Columbians during their most important financial transactions. We regulate BC ’s financial services market, including credit unions, trust companies, registered pension plans, insurance companies and mortgage brokers. We uphold public confidence by impartially setting and...

  • Compliance Officer

    5 days ago

    Vancouver, Canada BCFSA Full time

    **Job Description**: The BC Financial Services Authority (BCFSA) protects British Columbians during their most important financial transactions. We regulate BC ’s financial services market, including credit unions, trust companies, registered pension plans, insurance companies and mortgage brokers. We uphold public confidence by impartially setting and...

  • AML Compliance Officer

    3 weeks ago

    Vancouver, Canada Disability Solutions Full time

    At Raymond James, we develop, we collaborate, we decide, we deliver, and we improve together.Raymond James Ltd. is Canada's leading independent investment dealers offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs. AML Compliance OfficerHow does the role impact the organization?...

  • Account Maintenance and Compliance Officer

    3 weeks ago

    Vancouver, British Columbia, Canada Disability Solutions Full time

    Job SummaryAs an Account Maintenance and Compliance Officer at Disability Solutions, you will play a vital role in maintaining accurate client profile information and ensuring compliance with regulatory requirements. This is a dynamic opportunity for someone who enjoys working in a fast-paced environment and is passionate about delivering excellent client...

Compliance Officer

2 months ago

Vancouver, Canada ZLC WEALTH INC. Full time

Job Summary:

This role will report to the President of ZLC Wealth and support all aspects of the Compliance Division. Responsibilities include automating procedures, reviewing compliance regulations, assisting with technological advancements, and liaising with Advisors for compliance issues.

Duties and Responsibilities:

  • Collaborate with the team to maintain compliance regulations, update policies and procedure manuals, review all marketing materials, investigate and address client concerns, and resolve trade error handlings.
  • Review and approve new account documentation, KYC forms, and Investment Policy Statements, resolving deficiencies when applicable.
  • Advise on regulatory changes, policy updates, and compliance requirements to ensure continuous improvement of business operations.
  • Coordinate the compliance and AML training process for employees and associates, facilitating mandatory training sessions, reviewing and filing reports, ensuring completion of modules, and updating required portals.
  • Participate in the Investment Oversight Committee to conduct due diligence reviews for new products or services and streamline processes.
  • Maintain, review, and update various files and policies, including NRD files, outside business activities, the Business Continuity Plan, Daily Transaction Report, and Referral Agreements, in collaboration with associates and other team members.
  • Lead project management efforts for the implementation of new compliance technologies, ensuring alignment with regulatory requirements and organizational goals.
  • Collaborate with cross-functional teams to identify process improvement opportunities, develop project plans, and oversee execution to enhance compliance efficiency and effectiveness.
  • Monitor project timelines and deliverables, providing regular updates to stakeholders and adjusting strategies as needed to achieve successful outcomes.
  • Facilitate training sessions and workshops to ensure smooth adoption of new tools and processes within the compliance team and related departments.

Position Requirements:

  • Relevant compliance work experience within the wealth management industry.
  • A Bachelor's or Master's Degree in a related field, such as Business Administration, Finance, Accounting, or Economics (an equivalent combination of work experience and education may be considered).
  • Robust knowledge and experience with Investment Policy Statements, discretionary accounts, AML regulations, and training and legal documents.
  • Proficiency with computer applications and systems, such as 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.

Reporting Structure: President of ZLC Wealth.

Salary Range: $100,000 - $120,000.