Regulatory Affairs Director of Compliance Excellence

1 week ago


Vancouver, British Columbia, Canada ZLC WEALTH INC. Full time $100,000 - $120,000

At ZLC Wealth Inc., we are seeking a highly skilled Regulatory Affairs Director to join our team and drive compliance excellence across the organization.

About the Role

This is a critical leadership position that requires a deep understanding of regulatory requirements, industry trends, and compliance best practices. As a key member of our Compliance Division, you will be responsible for ensuring that our business operations are aligned with regulatory standards and guidelines.

Key Responsibilities:

  • Develop and implement effective compliance strategies to mitigate risk and ensure regulatory adherence.
  • Liaise with senior management, advisors, and cross-functional teams to maintain compliance regulations and policies.
  • Review and approve new account documentation, KYC forms, and Investment Policy Statements.
  • Advise on regulatory changes, policy updates, and compliance requirements to enhance business operations.
  • Collaborate with the compliance team to identify process improvement opportunities and develop project plans.
  • Lead project management efforts for the implementation of new compliance technologies, ensuring alignment with regulatory requirements and organizational goals.

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.
  • 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.

What We Offer:

We offer a competitive salary range of $120,000 - $180,000 per year, depending on experience, plus a comprehensive benefits package, including health insurance, retirement plan, and paid time off.

About Us:

ZLC Wealth Inc. is a dynamic and growing wealth management company committed to delivering exceptional client experiences and exceeding regulatory standards.



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