Regulatory Supervisor

7 days ago

Calgary, 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 a **full-time Regulatory Supervisor **to join our Client Experience Team in **Calgary, Alberta** as the firm makes inroads in the West. We are looking for an individual who takes pride in being professional and demonstrates fantastic client service.

**Position Overview**

**What You Will Do**

  • Overall supervisory responsibility for 50-60 Investment Advisors and Portfolio Managers across Alberta and BC
  • Assist in the review and approval of offering memorandum /alternative private product purchases in accordance with applicable accreditation and eligibility regulations and ACPI Policies
  • Work collaboratively with ACPI’s Client Experience team to provide guidance on ACPI compliance policies to individual branches under supervision
  • Provide regular support to Advisors, respond to ad hoc Advisor requests with value-added information, ideas and solutions
  • Complete daily/monthly trade and account reviews while maintaining evidence of and following up on any deficiencies noted
  • Escalate any significant client service issues, including allegations of wrongdoing and any verbal or written complaints to ACPI Leadership
  • Monitor registered individuals during the initial 90-Day Training Program, the 6-month supervision period and during any periods of ‘close supervision’ as determined by ACPI Senior Management

**You Will Bring**

  • Relevant securities industry experience, with minimum 3 years’ experience as a Branch Manager or Compliance Officer with an IIROC or MFDA dealer firm (Now CIRO) with at least 5 years of industry experience
  • Experience with a securities commission or self-regulatory organization is considered as asset
  • Post-secondary degree/education preferably in Finance, Business or Economics
  • Completion of applicable securities industry courses offered by the Canadian Securities Institute including: Canadian Securities Course, Branch Managers Course or Investment Dealer Supervisors Course
  • Completion/progress towards CFA® or CIM®
  • Critical thinking and sound judgement
  • Demonstrated knowledge and understanding of the relevant securities legislation and SRO rules and regulations.
  • Familiarity and experience working with equities, mutual funds and alternative investment products
  • Ability to work independently and manage time effectively
  • Demonstrated leadership ability
  • Strong conflict resolution, organizational and communication skills

**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
  • Culture of inclusion, diversity, and positivity

Aligned Capital Partners Inc. is an equal opportunity employer. If you require any accommodation to fully participate in our recruitment process, please call 1-800-561-4368 and ask for Human Resources.

  • Credit-Free Instructor Massage Therapy Diploma Outreach Supervisors

    4 weeks ago

    Calgary, Canada The Outreach Supervisor Full time

    The Outreach Supervisor is responsible for supervising and supporting massage therapy students during their off‑site clinical placements at community outreach locations. This role ensures that students deliver safe, ethical and professional treatments, adhere to program expectations and represent the institution in a positive manner. The Outreach...

  • Branch Manager/compliance Officer

    7 days ago

    Calgary, 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 a **full-time Branch Manager/Compliance Officer (Regulatory Supervisor) **to join our Client Experience...

  • Supervisor

    2 days ago

    Calgary, Canada Wellington-Altus Full time

    SupervisorLocation: This posting is for an existing vacancy in Wellington-Altus’s Toronto or Calgary office. Our Organization: Founded in 2017, Wellington-Altus Financial (Wellington-Altus) is the parent company to Wellington-Altus Private Counsel Inc., Wellington-Altus USA Inc., Wellington-Altus Insurance Inc., Wellington-Altus Group Solutions Inc.,...

  • Supervisor

    2 days ago

    Calgary, Canada Wellington-Altus Full time

    Location This posting is for an existing vacancy in Wellington-Altus’s Toronto or Calgary office. Our Organization Founded in 2017, Wellington-Altus Financial (Wellington-Altus) is the parent company to Wellington-Altus Private Counsel Inc., Wellington-Altus USA Inc., Wellington-Altus Insurance Inc., Wellington-Altus Group Solutions Inc., Independent...

  • Environment & Regulatory Advisor – Planning and Development

    2 days ago

    Calgary, Canada SECURE Full time

    Environment & Regulatory Advisor – Planning and Development Join to apply for the Environment & Regulatory Advisor – Planning and Development role at SECURE . About Us At SECURE, we lead the way in waste management and energy infrastructure, providing unmatched security and peace of mind to our clients. Our strength lies in our size, extensive network,...

  • Environment & Regulatory Advisor – Planning and Development

    2 days ago

    Calgary, Canada SECURE Full time

    Environment & Regulatory Advisor – Planning and Development Join to apply for the Environment & Regulatory Advisor – Planning and Development role at SECURE. About Us At SECURE, we lead the way in waste management and energy infrastructure, providing unmatched security and peace of mind to our clients. Our strength lies in our size, extensive network,...

  • Environment & Regulatory Advisor – Planning and Development

    2 weeks ago

    Calgary, Canada Working Energy Full time

    About Us At SECURE, we lead the way in waste management and energy infrastructure, providing unmatched security and peace of mind to our clients. Our strength lies in our size, extensive network, solid reputation, industry expertise, and a relentless can‑do attitude. With an expansive infrastructure network spanning Western Canada and North Dakota, we...

  • Clinical Supervisor

    1 week ago

    Calgary, Canada Alberta Health Services Full time

    Your Opportunity: The Rockyview Day Hospital is an alternative to inpatient admission within Addiction and Mental Health acute care services. This four-week program is a predominantly group-based program with individual therapy support and operates on a stabilization model and supports patients in enhancing coping skills. Reporting to the Unit Manager, the...

  • Site Supervisor

    7 days ago

    Calgary, Canada Sealtech Restorations Ltd. Full time

    **osition Overview**: We are seeking an experienced **Asbestos Site Supervisor** to oversee on-site operations for asbestos removal projects. This role requires strong leadership, excellent communication skills, and an in-depth understanding of asbestos abatement regulations and procedures. The Site Supervisor ensures that projects are completed safely, on...

  • Clinical Supervisor

    2 weeks ago

    Calgary, Canada Alberta Health Services Full time

    Your Opportunity: Reporting to the program manager of NW Campus, the Clinical Supervisor is responsible for providing clinical supervision of staff, promoting best practices and standards, supporting quality patient care, and supporting change and new initiatives within the Northwest Community Adult mental health clinic (CAMHC-NW) and the Women’s Mental...