Compliance Administrator

2 weeks ago

Vancouver, Canada Harbourfront Wealth Management Full time

**Who we are**:
Harbourfront Wealth Management Inc. is a dynamic industry leader specializing in financial services and wealth management. We are a fast-growing firm and a IIROC registered securities dealer. The firm provides financial services and holistic wealth management solutions for mid to high-net-worth individuals. At Harbourfront Wealth Management Inc., our core values start with the belief that **great people make great companies.** Our head office is in downtown Vancouver with over 20 branches across Canada.

**Career opportunity**:
**Key responsibilities**

**Support registrations department through cross-training and backup for**:

- Authorized Firm Representative activities in the National Registrations Database (“NRD”)
- Conducting registration checks for new employees
- Monitoring ongoing NRD submissions, and conveying progress updates
- Resolving NRD failed submissions or requests for information
- Administering CE credits and post licensing tracking
- Ensuring registered representatives have applicable insurance coverage

**Credit Officer administration activities including**:

- Daily processing of transfer activity according to policies and procedures
- Communication, follow-up, and tracking on outstanding debits and margin calls
- Monitoring of credit activity for PCMLTFA concerns, and tracking certain AML requirements

**Compliance supervision support activities including**:

- Fund facts delivery verification
- Delivering failed trade notices
- Price and segregation testing
- Other projects as assigned
- 2 + years of financial service industry experience, preferably, with an IIROC Investment Dealer
- Has obtained the Canadian Securities Course
- Familiar with brokerage back-office operations, objectives, and initiatives
- Experience with dealer member registrations and NRD
- High level of interpersonal skills, critical thinking, and ability to operate in a dynamic, fast-paced environment
- Exceptional written and verbal communication skills
- Strong analytical skills, along with a keen eye for detail
- Demonstrated ability to prioritize, multitask, work within time constraints and follow-up
- Effective team player, positive attitude, and strong collaboration skills

**Diversity and Inclusion**

Diversity is an important value to us. We are committed to providing equal opportunities in employment and to providing a workplace which is free from discrimination and harassment. This means that all job applicants and employees will receive equal treatment regardless of race, colour, ethnic or national origins, sex, marital status, disability, age, sexual orientation, religion, or belief.

**Job Types**: Full-time, Permanent

**Benefits**:

- Company events
- Dental care
- Disability insurance
- Extended health care
- Life insurance
- On-site gym
- Paid time off
- Tuition reimbursement
- Vision care

Flexible Language Requirement:

- French not required

Schedule:

- Monday to Friday

Application question(s):

- Are you legally authorized to work in Canada?
- Have you completed the Canadian Securities Course (CSC)?

Work Location: Hybrid remote in Vancouver, BC

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