Compliance Specialist

Compliance Specialist

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Winnipeg, Manitoba

Office Professionals

Permanent

01/23/2024

211028

Our client, an entrepreneurial portfolio management firm in downtown Winnipeg, has partnered with Stacey Danley at Aplin in the search for a Compliance Specialist. Working closely with the Chief Compliance Officer, this newly created position is an ideal opportunity for an ambitious compliance professional looking for mentorship.

Benefits & Perks:
  • Competitive starting salary plus bonus
  • A health spending account and RRSP matching
  • An option to work from home one day per week
  • Education reimbursement
Responsibilities:
  • Supervision of client files and administration.
  • Approval of new accounts, new account application forms, and related required documentation.
  • Oversight of referral arrangements.
  • Policy and procedural development.
  • Resolution of Regulatory Audit issues.
  • Ensure Advisor awareness and compliance with new and revised securities regulatory requirements and internal supervisory and compliance policies and procedures.
  • Establish effective working relations with regulator staff.
  • Special projects with the CCO to support ongoing growth initiatives.
Qualifications:
  • Undergraduate degree and/or industry-related courses.
  • 3+ years of industry experience in a regulated firm.
  • Previous compliance administration experience with an understanding of current securities regulatory issues.
  • Excellent analytical and problem-solving skills.
  • Excellent written and verbal communication skills.
  • An ability to work under pressure with tight deadlines.


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