Compliance Administrator
$50,000–$55,000 year
On-siteVancouver, British Columbia, Canada
Job Summary
Communicate documentation requirements for transactions and complex client requests to Investment Advisors and assistants. Assist with client requests domestically and internationally under AML and CIRO regulations. Provide support to supervisors and VPs on communication and departmental needs. Offer input for processes and procedures to ensure firm compliance with regulatory requirements. Perform time-sensitive tasks such as year-end and regulatory audit inquiries in response to inquiries. Handle internal and external queries efficiently to promote business and profitability. Document queries and results for reference to target and resolve potential deficiencies. Requires 2-3 years of securities industry experience, knowledge of CIRO and FATCA, and proficiency in MS Office. Onsite position in Vancouver.
Required Qualifications
- 2-3 years of experience in the securities industry
- previous experience in a back-office environment
- Understanding of CIRO, FATCA and CRS regulations
- Experience and knowledge of legal documentation for corporations, trusts and other legal entities
- Detail-oriented and accurate
- Aptitude to seek information, problem solve and exhibit sound judgment
- Superior written and verbal communication skills
- strong interpersonal skills
- Excellent organizational and time management skills
- Ability to work in a fast-paced environment
- take initiative
- Work in a team environment
- demonstrate a professional and friendly manner
- Proficiency with MS Word
- Proficiency with Excel
- Proficiency with Outlook
- eligibility to work in Canada with no restrictions
Desired Qualifications
- Dataphile
- Completion or willingness to complete the CSC or CPH
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