Regulatory Supervisor

3 weeks ago

Calgary, Alberta, Canada Aligned Capital Partners Inc. Full time
Regulatory Supervisor Opportunity

Aligned Capital Partners Inc. is seeking a highly skilled Regulatory Supervisor to join our Client Experience Team in Calgary, Alberta. As a key member of our team, you will play a critical role in ensuring that our Advisors' business practices are in compliance with applicable securities regulatory requirements and our company's policies and procedures.

Key Responsibilities:
  • Provide Tier 1 supervision for assigned Advisors to ensure compliance with regulatory requirements and company policies.
  • Review and approve offering memorandum and alternative private product purchases in accordance with accreditation and eligibility regulations.
  • Collaborate with the Client Experience team to provide guidance on compliance policies to individual branches.
  • Complete daily and monthly trade and account reviews, maintaining evidence of and following up on any deficiencies noted.
  • Escalate significant client service issues, including allegations of wrongdoing and verbal or written complaints to leadership.
  • Monitor registered individuals during the initial 90-Day Training Program, 6-month supervision period, and close supervision periods.
Requirements:
  • Relevant securities industry experience, with a minimum of 3 years as a Branch Manager or Compliance Officer with an IIROC or MFDA dealer firm.
  • CIRO licensed or ability to be licensed upon hire (subject to CIRO approval).
  • Post-secondary degree or education in Finance, Business, or Economics.
  • Ability to leverage technology to enhance analysis and execution, including working knowledge of MS Office applications.
  • Ability to work independently and manage time effectively.

We offer a dynamic work environment, competitive compensation, and opportunities for growth and development. If you are a motivated and detail-oriented individual with a passion for regulatory compliance, we encourage you to apply for this exciting opportunity.

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