Bilingual Compliance Officer

Leith Wheeler Investment Counsel Ltd. is an employee-owned firm, headquartered in Vancouver with offices in Calgary, Toronto and Montreal. We manage over $30 billion of assets on behalf of pension, foundation, corporate, Aboriginal, and individual clients across Canada.

We are seeking an experienced bilingual Compliance Officer to provide compliance supervision (in both French and English) at the firm, including our new Montreal office. You will be responsible for account opening, KYC maintenance, AML, portfolio monitoring and other compliance tasks to help deliver an outstanding client experience and to improve operational efficiency.

In this role, you will also serve as a key point of contact for supervising our French client relationship management and business development activities. The ideal candidate is detail-oriented, collaborative, and passionate about upholding the highest compliance standards while supporting a growing investment management business.

This role can be based out of Montreal, Toronto, or Vancouver.

Job Description:

• Review and approve account opening and updates to KYC information
• Monitor and supervision trading activity through Latent Zero Sentinel compliance system
• Prepare compliance reports for funds and clients
• Assist in the oversight of the firm's policies, processes, and procedures as they relate to securities regulations, AML, and FATCA/CRS.
• Ensure the firm complies with client's investment policy statements by reviewing and escalating daily alerts generated from the compliance monitoring system
• Develop and enhance processes for the firm's automated compliance monitoring system, including rules maintenance, implementation, and updates.
• Assist in the preparation and filing of regulatory reporting
• Develop written procedures and implement preventative internal controls
• Support the development of the firm's business and perform other duties or special projects as assigned

Job Qualifications:

• Bachelor's degree in Finance, Business, Law, or a related field
• 2 to 5 years of compliance-related experience within a registered portfolio manager, investment management, or securities firm
• Good understanding of the Canadian securities' regulatory environment
• Enrolment in or completion of relevant courses such as the Canadian Securities Course (CSC), Conduct & Practices Handbook (CPH), or progress toward compliance-related designations
• Enrollment in the CFA program is an asset
• Proven experience with various compliance programs including AML, investment funds, FATCA/CRS
• Experience with NRD (National Registration Database), & order management and compliance systems (with a focus on the compliance rule writing)
• Proficiency in Excel, Word, PowerPoint, and Outlook
• Familiarity with Bloomberg, Advent, and Salesforce software preferred

Attributes for Success:

• Client-first mindset and ability to communicate with professionalism in both languages
• High attention to detail and strong organizational skills
• High degree of professional ethics and integrity
• A keen eye for detail
• Thrives in a team environment, and effectively contributes to the team
• Highly proficient at managing multiple tasks and changing priorities

Why Join Us:

• Ownership potential: As an employee-owned firm, we offer the opportunity for team members to become equity partners and share in the firm's long-term success.
• Leaning & value-add: Exposure to a broad range of compliance responsibilities and close collaboration with senior leadership.
• Professional growth: Support for professional development and industry certifications, including financial assistance and study flexibility.
• Collaborative culture: A supportive, entrepreneurial environment where your voice is heard, and your contributions make a measurable difference.

Job Type: Full-time

Pay: $60,000.00-$65,000.00 per year

Benefits:

• Company events
• Dental care
• Disability insurance
• Employee assistance program
• Extended health care
• Life insurance
• Paid time off
• Vision care

Work Location: Hybrid remote in Toronto, ON M5H 3P5