Compliance Administrator

Who we are:

Harbourfront Wealth Counsel Inc. (Harbourfront) is a wholly owned subsidiary of Harbourfront Wealth Holdings, which is dynamic industry leader specializing in financial services and wealth management. We are a fast-growing wealth management firm with over $14 billion in assets under administration, comprised of five integrated entities: CIRO dealer, investment counsel, asset manager, U.S. Registered Investment Advisor (RIA) and insurance company. At Harbourfront Wealth Counsel Inc. and Harbourfront Wealth, our core values start with the belief that great people make great companies. Our head office is in downtown Vancouver with over 43 branches across Canada.

Career opportunity:

We currently have a career opportunity for a
Compliance Administrator
reporting to the Director of Compliance & Operations. This role will be based out of
Vancouver, BC,
or remote. The Compliance Administrator role contributes to the overall supervision activities of the compliance department and promotes a culture of compliance throughout the firm. This role will support a number of portfolio management teams. We are looking for a highly motivated candidate who can build solid relationships, has a passion for providing high quality customer service and is eager to expand their career in compliance and supervision.

You will be responsible for:

• Send recurring compliance reminders to registrants (gifts and entertainment, NRD updates, etc.);
• Generate monthly client custodian statements for review;
• Assist in coordination of completion of working capital calculation;
• Update risk scoring/categorization in NDEX;
• Review of monthly trades for compliance with Approved Product List;
• Review alerts for significant changes to products (ongoing monitoring);
• Open new accounts; custodian & NDEX, including inputting client risk profiles and management fees in NDEX;
• Assist with compliance reviews of client accounts/transactions;
• Running daily, monthly, quarterly and annual reports for PM oversight;
• Monitoring and maintaining the Compliance mailbox, including escalating matters as required;
• Update client documentation and training materials as necessary;
• Assist with ongoing maintenance and updates to the Policies & Procedures Manual;
• Maintaining various Compliance logs;
• Assist with outside activities reviews;
• Participating in internal audits as well as external regulatory audits;
• Personal trading reviews;
• Supporting all staff and multiple teams, including Portfolio Managers with compliance inquiries;
• Special projects as assigned.

The ideal candidate for this position has:

• 2-3 years' experience in a compliance department of a portfolio manager registered with a provincial securities commission or a CIRO Dealer Member (previously IIROC Dealer Member);
• Post secondary education;
• Strong communication skills and must be able to effectively communicate with different levels of staff including portfolio managers and senior leadership;
• Must be an effective listener and have a collaborative team-work approach with the ability to prioritize, performing multiple tasks meeting deadlines;
• Strong analytical skills;
• Proficiency with MS Office applications.

Definite Assets:

• Knowledge of National Bank and Aviso office processes and tools; and
• Experience with Global Relay, NDEX, DocuSign, Mako, Salesforce and other compliance applications.

Salary Range: $50,000 - $60,000 per annum (actual salary offered will be commensurate with education, experience, and internal parity).
(compensation must be listed for BC roles, if other provinces it's optional)

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.