Senior Compliance Officer

3 weeks ago

Burlington, Ontario, Canada Harbourfront Wealth Management 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 CIRO 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:

We currently have a career opportunity for a Senior Compliance Officer reporting to the Director of Compliance Supervision & Program Development. This role will be based out of either our head office in Vancouver, BC, or at our satellite head offices in Burlington, ON, Winnipeg, MB or other locations where Harbourfront Wealth has an existing branch . The Senior Compliance Officer role contributes to the overall supervision activities of the compliance department and promotes a culture of compliance throughout the firm. 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:

  • Supervise and train newly registered staff with respect to regulatory requirements;
  • Supervise managed accounts;
  • New account approvals and account updates;
  • Tier 1 supervision activities of both non-managed and managed accounts;
  • Conducting daily and monthly trading review;
  • Conducting quarterly reviews of managed accounts;
  • Reviewing, approving and supervising outside activities;
  • Oversight of registrants within the 30 and 90 day training program;
  • Conducting close supervision of new registrants;
  • Participating in internal branch audits as well as external regulatory audits;
  • Supporting all staff, including Investment Advisors and Portfolio Manager with compliance inquiries;
  • Providing ongoing compliance education and training for branch personnel; and
  • Special projects as assigned.

The ideal candidate for this position has:

  • 5+ years experience in a compliance department with at least 3 years as a Tier 1 Supervisor for a CIRO Dealer Member (previously IIROC Dealer Member);
  • Post secondary education;
  • Must qualify to be immediately registered as a designated supervisor of managed accounts with CIRO;
  • Will be required to continue to meet IIROC continuing education requirements;
  • In-depth knowledge of the financial services industry including understanding of regulatory requirements of CIRO and the CSA;
  • Strong communication skills and must be able to effectively communicate with different levels of staff including advisors 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; and
  • Proficiency with MS Office applications.

Definite Assets:

  • Knowledge of National Bank office processes and tools; and
  • Experience with Portfolio Aid 360 Software, PureFacts, DocuSign, Croesus and other compliance applications.

Salary Range:

$80,000 - $110,000 per annum (actual salary offered will be commensurate with education, experience, and internal parity).

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.

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