Compliance Specialist

1 week ago

Vancouver, Canada Leith Wheeler Investment Counsel Full time

Leith Wheeler Investment Counsel Ltd. Is an employee-owned firm, headquartered in Vancouver with offices in Calgary and Toronto. We manage over $23 billion of assets on behalf of pension, foundation, corporate, Aboriginal, and individual clients across Canada.
- Assist in the development, implementation and oversight of the firm’s policies, processes, and procedures as they relate to Securities Laws and Regulations, AML, FATCA/CRS rules
- Review and approve account opening and updates to KYC information on existing accounts
- Ensure the firm complies with client’s investment policy statements by reviewing and escalating daily alerts generated from the compliance monitoring system
- Perform oversight of the firm’s daily trading processes
- Develop and enhance processes for the firm’s automated compliance monitoring system, including system maintenance, implementation, and updation
- Perform auditing and oversight of the firm’s processes to ensure compliance with applicable laws and regulations
- Assist in the preparation and filing of regulatory reporting
- Develop written procedures and implement preventative internal controls Support the development of Leith Wheeler's business; and perform other duties or special projects as may be assigned from time to time

**Qualification and Experience**:

- Solid understanding of the Canadian securities’ regulatory environment
- 5+ years of compliance-related experience in Financial Services
- Proven experience with various compliance programs including NRD (National Registration Database)
- Experience with Portfolio Management systems (with a focus on the compliance component)
- High level of proficiency with MS Office Completion of Canadian Securities Course or Chartered Financial Analyst program is an asset

**Attributes for success**:

- Positively contributing to our Culture Blueprint - Character (Be Genuine), Connection (Build Relationships), and Commitment (Deliver Excellence)
- High degree of professional ethics and integrity
- High level of accuracy and attention to detail
- Thrives in a team environment, and effectively contributes to the team

**Job Types**: Full-time, Fixed term contract
Contract length: 9 months

Schedule:

- Day shift
- Monday to Friday

COVID-19 considerations:
We have a formal Joint Health & Safety Committee, and we follow all protocols, all take all precautions including work from home where applicable

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