Specialist, Compliance Supervision

7 days ago

Vancouver, Canada Harbourfront Wealth Management Inc. 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 employee-owned firm and 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**:
**You will be responsible for**:

- Conducts Tier 2 Supervision of Tier 1’s supervision of daily and monthly trade reviews;
- Conducts branch examinations;
- Conducts monthly fee-based reviews;
- Assists with marketing reviews, including social media supervision;
- Assists with trading surveillance supervision;
- Assists with AML supervision;
- Participating in external regulatory audits;
- Supporting Advisors with Compliance inquiries;
- Secial projects as assigned;
- 2+ years experience in a compliance department with a CIRO Dealer Member (previously IIROC Dealer Member);
- Post secondary education;
- Completed or enrolled in the Canadian Securities Course;
- Familiarity with NBIN back-office systems, objectives and initiatives;
- Must be an effective listener and a collaborative team-work approach, the ability to prioritize, performing multiple tasks and meeting deadlines;
- Knowledge of the financial services industry including understanding of regulatory requirements of CIRO and the CSA;
- Strong oral and written communication skills and must be able to effectively communicate with different levels of staff including advisors and senior leadership;
- Strong analytical skills with attention to detail with a demonstrated ability to prioritize, multitask and work within tight time constraints; and

**Definite Assets**:

- Knowledge of National Bank office processes and tools; and

**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**:

- Extended health care
- Life insurance
- RRSP match
- Vision care
- Work from home

Flexible Language Requirement:

- French not required

Schedule:

- Monday to Friday

Work Location: Hybrid remote in Vancouver, BC V6E 2Y2

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