Compliance Manager

Compliance Manager

ACM Advisors (“ACM”), a subsidiary of EQB Inc. (TSX: EQB), provides fixed income investment solutions and commercial mortgage financing. ACM provides our investors with strong returns on investments in pooled funds of mortgages and related fixed income securities backed by quality Canadian commercial real estate properties.

We accomplish this goal through well-established sources of investment opportunities along with prudent underwriting and timely decision-making, implemented with the expertise and experience of our professional management team.

**Job Description**:
Team: Operations

Location: Vancouver, BC

Primary Responsibilities include (and not limited to):

- Supporting the Chief Compliance Officer to ensure ACM remains in compliance with the legal and compliance framework of applicable Canadian regulatory bodies. - Maintaining compliance programs, standards, initiatives, and executing on various projects, as well as providing strategies, coaching, advice, presentations and recommendations for continuous improvement across the applicable areas of the business. - Liaising and collaborating with EQB Inc. on various initiatives and sharing of best practices. - Performing periodic internal audits and related reviews. Documenting walkthroughs and test of processes to assess compliance with internal and external policies and regulations. Preparing reports summarizing conclusions in a clear and organized manner. - Assisting in the development and execution of risk assessments to identify risk areas within the organization. - Using data analytics and other tools to identify trends, patterns or anomalies that may indicate potential compliance risks.
- Reviewing subscription/redemption documents for accuracy, completeness and compliance with internal policies and securities and other applicable regulations.
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- Reviewing new client account openings, ongoing transactions monitoring, Know Your Client (KYC) changes, suitability, etc. and ensuring client account information is up to date.
- Assisting with reviewing, analyzing and reporting on unusual activity in client accounts.
- Staying up-to-date on applicable securities and other applicable regulations.
- Maintaining and updating internal policies and procedures to reflect any changes in provincial and federal requirements.
- Assisting with managing Anti-Money Laundering (AML)/Counter Terrorist Financing (CTF)/sanctions/anti-bribery & corruption (ABC) risk operations.
- Preparing regulatory filings/reports required by various regulatory bodies.
- Streamlining operational processes and enhancing efficiencies.
- Other ad hoc projects and duties as assigned.

Qualifications:

- At least two (2+) years of compliance related experience within the financial services industry. - Bachelor’s degree in Accounting, Business Administration, or a related field. Chartered/Certified Public Accountant (CPA), or equivalent designation is desired. Professional designations such as Certified Internal Auditor (CIA), Certified Fraud Examiner (CFE) and/or Certified Anti-Money Laundering Specialist (CAMS) are also an asset.
- Completion of the Canadian Securities Course (CSC) course is a plus.
- In-depth knowledge of effective compliance frameworks, standards, best practices, and continuous improvement programs.
- Advanced proficiency in the full Microsoft 365 suite (e.g. Teams, Excel, PowerPoint, Word, Outlook, etc.).

Competencies:

- Strong attention to detail, pro-active and a self-starter.
- Ability to interpret and write comprehensive policies, procedures and processes.
- Highly proficient in analytic, critical thinking, and problem solving.
- Is a self-starter with excellent planning, organization, and follow-up skills.
- Can liaise and interact with stakeholders on different matters; is able to demonstrate leadership skills, tact and diplomacy.
- Communicates ideas clearly and effectively, both verbally and in written form in a concise and professional manner.
- Ability to think strategically and develop innovative solutions; has the capacity to coach a variety of employees and management about compliance matters.
- Acquires and maintains knowledge of applicable compliance standards, best practices and regulations. ACM covers the cost of approved development courses and certifications.
- Ability to multi-task and carry out assignments concurrently; can participate as an effective member of a team and meet deadlines responsibly.
- Demonstrates sound judgment, ability to learn quickly with a natural intellectual curiosity; can deal with ambiguity to resolve matters of complexity.
- Team-player attitude with willingness to pitch in wherever needed.
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Application Process:
We thank all applicants for their interest; however, only those selected for an interview will be contacted.

Pay: $50,769.62-$114,820.39 per year

**Benefits**:

- Dental care
- Extended health care
-