Compliance Administrator

**Company Overview**

RGF Integrated Wealth Management (RGF) is an independent integrated financial services firm with over 65 people, located in Vancouver.

**Summary**

We are looking for a Compliance Administrator, who will report to the CCO, providing support to the firm’s compliance functions, completing assigned duties consistent with established regulatory requirements, standards and timelines. As part of the corporate team, you are responsible for back office support of the firm’s financial advisors.

This position is best suited to someone with experience in the compliance area of financial services. Exceptional organizational and prioritization skills and a strong focus on accurate task completion, solid verbal and written communication and interpersonal skills, an ability to quickly and easily learn and enthusiasm to fully participate as a member of a team and contribute to a positive work environment.

This is a full-time permanent position with competitive benefits including health and dental, wellness account, personal days, Group RRSP matching and potential for working from home 2 days a week after 6 months.

**Responsibilities**

Supervision Reporting and Administration
- Provide administrative support for supervision reporting preparation, including Pro Accounts, Error Accounts, Cash Balance, Supplementary Client Reporting, AML blotter reports, and high-risk clients.
- Administer annual declarations and UDP system.

Compliance Support and Reporting
- Provide administrative support to the Compliance Officer.
- Generate compliance reports and administer follow-ups.
- Review correspondence to ensure compliance baselines are met.
- Perform daily trade and account supervision, including trading blotter review.
- Coordinate and track various internal supervision requirements.
- Compile documentation regarding compliance issues.
- Assist with the execution and implementation of procedures.
- Coverage for CCO.
- Assist in the preparation and submission of CIRO-mandated reports, including monthly and annual filings.

Monitor employee licensing and registration status through the National Registration Database (NRD).

Coordinate compliance training sessions and maintain training records.

Assist in the development and review of internal policies and procedures.

Prepare documentation for internal audits and regulatory reviews.

Stay informed of regulatory updates and communicate relevant changes to staff.

Perform other administrative tasks and projects as required.

Administrative and Support Tasks
- Part of the reception vacation/absence coverage team.
- Manage scheduling, calendar, and follow-ups.
- Perform other administrative tasks and projects as required.

**Requirements**:

- Post-secondary education in Business Administration or equivalent experience.
- Minimum 2 years financial industry experience.
- Excellent organizational and communication skills.
- High level of attention to detail and excellent follow ups.

**Preferred Assets**
- Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH) or Wealth Management Essentials (WME) an asset.
- Familiarity with National Registration Database (NRD).
- Experience with systems e.g., Dataphile, Subserveo, Croesus, intermediate in Excel, Office 365 including SharePoint, Outlook and Teams and Dynamics 365 CRM.

Please note that only those applicants for an interview will be contacted.

No telephone calls or recruitment agencies will be accepted.

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

Pay: $55,000.00-$65,000.00 per year

**Benefits**:

- Company events
- Dental care
- Extended health care
- RRSP match
- Wellness program

Flexible language requirement:

- French not required

Schedule:

- 8 hour shift
- Monday to Friday

Work Location: In person