Compliance Specialist (Tier 1)
HybridLangley, British Columbia, Canada
Job Summary
Conduct daily and monthly Tier 1 supervision of mutual fund registered advisors, reviewing trading activity and approving account documents like NAAF and KYC updates within prescribed timelines. Manage regulatory changes, handle client complaints and compliance queries, and contribute to ongoing compliance education initiatives. Act as a primary contact for assigned advisors, resolving obstacles and delivering performance feedback to leadership while tracking and escalating compliance issues to Tier 2. Ensure adherence to CIRO, BCSC, and securities regulatory procedures, maintaining accurate issue logs to achieve annual "green" audits. Monitor advisor activities for outside business dealings and potential red flags, supporting strategic compliance projects and staying current with industry trends.
Required Qualifications
- Minimum 3-5 years of experience in financial services, with relevant background in sales, training, administration & securities regulations
- College, Trade or Tech School Diploma (2 years) in related discipline
- Eligibility to be registered as a Branch Manager with CIRO MFD
- Experience as Branch Compliance Manager, Compliance Officer, or Advisor in an IIROC/MFDA environment
- High level of product knowledge, securities industry rules and regulations
- Demonstrates the capability to work independently while also contributing effectively within a team setting
- Exhibits strong interpersonal and communication abilities, both in verbal and written formats
- Displays proven organizational skills with a track record of managing multiple responsibilities and consistently meeting deadlines
- Possesses expertise in conflict resolution, influencing outcomes, and fostering consensus
- Upholds high standards of conduct, compliance, and risk management
- Commitment to ongoing self-development and keeping current with industry trends and regulatory requirements
- Proficient with computer software applications e.g. MS Office (Teams, Outlook, Word, Excel)
- Displays an understanding of risk and risk ownership by being able to demonstrate adherence to policies and procedures
Desired Qualifications
- experience with Broadridge Dataphile
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