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Compliance Officer

2 weeks ago

Edmonton, Canada Raintree Financial Solutions Full time

Job Description

Raintree Financial Solutions is an Exempt Market Dealer that is dedicated to helping investors build their wealth responsibly through a variety of private investment opportunities. It is our mission to enable, empower and educate our clients to make strong financial decisions.

Raintree Financial Solutions is looking for a full-time Compliance Officer to join our team in Edmonton.

What You Will Be Doing

The Compliance Officer works with the Chief Compliance Officer to ensure that Dealing Representatives, internal staff, and coworkers are compliant with business and legislative regulations. This position has varying responsibilities within the organization to meet legislative obligations. This entails performing required supervision reviews of the dealing representatives, reviews of social media, and ongoing review of the Compliance Department's overall work to ensure industry standards are being met and/or exceeded.

Key Roles and Responsibilities

Transaction Compliance
- Ensure compliance processes are developed, implemented, and followed
- Review transactions for suitability and legislative compliance through Know Your Client (KYC) forms, client/product notes, and all other submitted documentation
- Ensure the accuracy, administration, and maintenance of regulatory evidence
- Liaise with Dealing Representatives when information submitted is incomplete, inaccurate, or unsuitable for the client
- Train Dealing Representatives on how to perform suitability reviews
- Provide ongoing support and education to Dealing Representatives on legislative requirements, client suitability, and product diversification

Legislative Compliance
- Develop and maintain in-depth knowledge of provincial compliance laws and regulations applicable to RFS business.
- Conduct regular internal compliance reviews of the dealing representatives to ensure compliance with the policies and procedures
- Develops and implements goals, objectives, and priorities for internal compliance reviews to ensure all process maintain high-quality delivery
- Facilitate regulatory monitoring, risk assessments, analyze and prepare internal compliance review reports
- Execute annual and quarterly marketing reviews of marketing activities of the dealing representatives
- Investigate and respond to compliance risk issues, regulatory inquiries, including preparing required documentation
- Provide ongoing education through discussion, presentations, and written communication to Dealing Representatives and internal staff on legislative requirements

Specialized Duties
- Marketing reviews, including websites and social media
- Assist with Dealing Representatives registration processes
- Legal and compliance research and/or project work
- Prepare information for audits for Security CommissionsWho We Are Looking For
- 3-5 years of relevant experience and post-secondary education in compliance, risk management roles with knowledge within financial services ( EMD, MFDA, IIROC)
- Experience working effectively in a team environment where flexibility, collaboration, and adaptability are important
- Possess strong organizational and prioritizing skills
- Knowledge and/or experience with relevant legislation and regulation is an asset (NI 31-103, NI 45-109, FINTRAC, PIPEDA)
- Excellent verbal and written communication and interpersonal skills
- Attention to detail
- Analytical and problem-solving skills
- Must be self-directed and able to manage multiple priorities
- Highly motivated; displays honesty, integrity, and good judgment
- Ability to work efficiently as a part of a team as well as independently

Education
- Ongoing or completion of a post-secondary certificate or diploma in the financial, investment and securities industry would be an asset
- Knowledge of compliance and related regulations in the financial, investment and securities industry is desired
- Intermediate to advanced knowledge of MS Office
- Must speak, read and write English fluently

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

**Benefits**:

- Dental care
- On-site parking
- Vision care

Schedule:

- Monday to Friday