Manager, Compliance

1 week ago

Burlington, Canada Aligned Capital Partners Inc. Full time

Aligned Capital Partners Inc. (ACPI) is a fast-growing investment dealer with a dynamic team looking to expand our business exponentially. Our corporate culture encourages teamwork, service excellence, creativity, and initiative. We are currently hiring for a **Manager of Compliance** **to join our growing team in **Burlington**.

**Position Overview**

**What You Will Do**
- Promote a dealer culture that stresses integrity and effective risk management.
- Keep up to date with knowledge and understanding of all relevant business, industry and regulatory developments.
- Help assess overall adequacy of the trade surveillance system and other technology solutions used for supervisory and business purposes.
- Assist with establishing and updating compliance policies, procedures and internal databases when the need arises.
- Effectively coach, develop and motivate the employees of the Retail Supervision team to ensure their understanding of the supervisory and compliance measures needed to fulfill their respective roles.
- Effectively monitor the performance of the employees of the Retail Supervision team to ensure regulatory and job obligations are fulfilled.
- Ensure adequate records of all supervisory activities are consistently maintained and stored in a central repository.
- Act as the escalation point for the Retail Supervision team and raise matters of non-compliance and red flags to the Chief Compliance Officer and Deputy Chief Compliance Officer of the firm.
- Foster positive and collaborative working relationships with ACPI colleagues, the Advisors and their team members, and all other business associates.

**You Will Bring**
- Minimum 5 years of securities industry experience.
- Post-secondary degree/education - Finance or Business is preferred.
- Effective problem-solver with excellent verbal and written communication skills. Identifies and analyzes problems; weighs relevance and accuracy of information; generates and evaluates alternative solutions; makes recommendations.
- Able to build and maintain effective working relationships with experience managing people.
- Currently registered with IIROC as _Supervisor _of Registered Representatives/Investment Representatives.
- Ability to be registered with IIROC as _Supervisor_ designated to be responsible for the supervision of managed accounts would be an asset.
- Ability to be registered with IIROC as _Supervisor_ designated to be responsible for the supervision of options accounts would be an asset.
- Experience supporting an Investment Dealer’s portfolio management platform would be an asset.

**What We Bring**

We are committed to a positive employee experience fostered through an open and collaborative work environment. We offer you:

- Competitive compensation
- Recognition of your accomplishments
- Communication and feedback
- Investment in your training and development
- Commitment to your health and well being

Aligned Capital Partners Inc. is an equal opportunity employer. Please contact us at 905-639-5115 if you require any accommodation in order to fully participate in our recruitment process.

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