Senior Compliance Officer recruitment
Since its establishment in 1950, Canaccord has been driven by an unwavering commitment to building lasting client relationships. We achieve this by generating value through comprehensive investment solutions, brokerage services and investment banking services for our individual, institutional and corporate clients. Canaccord has 49 offices worldwide, including 32 Wealth Management offices located across Canada. Canaccord Genuity, the international capital markets division, operates in Canada, the U.S., the U.K., China, Hong Kong, Australia and Barbados.
Canaccord Genuity Corp. (Canaccord Genuity), Canaccord’s Canadian operations is looking for a Compliance Officer to join its Compliance department in Vancouver. This position will contribute to the regulatory control of Canaccord by providing the highest standard of integrity for the firm and its clients.
Responsibilities
- Review and approve new and updated client applications to ensure compliance with regulatory requirements and internal policies and procedures;
- Continually observe electronic communication’s filter for possible rule violations and follow up with necessary measures if any identified;
- Assist with examination/approval of Advertising and Marketing material for external distribution;
- Provide support to VPs, Compliance for Communication and US Compliance needs;
- Develop processes procedures to remain compliant with regulatory requirements to prevent regulatory penalties;
- Perform time-sensitive tasks (e.g. year end audit inquiries, client complaint files) quickly to avoid regulatory scrutiny and/or penalties;
- Handle internal and external queries efficiently to promote business and in turn profitability;
- Document queries and the result of such for reference purposes in order to target and resolve potential deficiencies.
Skills Qualifications
The successful candidate must enjoy working in a high volume, routine work environment and have the following skills and qualifications:
- At least 5 years experience in the securities industry
- Completion of Canadian Securities Course, Partners, Directors Officers, Options Supervisor an asset;
- Solid understanding of IIROC regulations;
- Working knowledge of anti-money laundering regulations;
- Strong PC skills including Microsoft Office, Maximizer and DataPhile;
- Ability to work in a fast-paced, high volume environment;
- Experience and knowledge of legal documentation for corporations, trusts and other legal entities
- Capable of drafting new processes and procedures;
- Competent to take initiative;
- Ability to adapt to change;
- Client service orientation;
- Strong organization skills;
- Ability to adapt to change
- Flexibility
- Information seeking
- Interpersonal Understanding
- Teamwork, co-operation, supervision and leadership skills.
Qualified applicants are invited to submit a resume and covering letter including salary expectations. All applications will be held in strict confidence. To apply, please visit our Careers Site.
In order to be considered for employment at Canaccord, candidates selected for interviews will be required to show proof of citizenship, permanent residence or eligibility to work in Canada with no restrictions.
We wish to thank all candidates for their interest but only those applicants selected for an interview will be contacted. No phone calls please. Thank you for your understanding