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Compliance Specialist

Sep 14, 2021

Company: Coast Capital Savings Federal Credit Union

Location: British Columbia (CA-BC), Surrey

Job Type: Full Time 

 

Building Better Futures Together

 

What’s the job?
 
We’re looking for a Compliance Specialist to join our team and help protect against risks relating to regulatory compliance. The Compliance Specialist is responsible for working in the day to day compliance function of the Investment Compliance team and is focused primarily on regulatory duties for the CCS mutual fund dealer and partner, Worldsource Financial Management (WFM). 

 

What you’ll get to do:

 

•       Daily review and approval of new accounts as required by regulation.
•       Daily review and approval of mutual fund and segregated fund transactions as required by regulation.
•       Conduct and/or assist in the branch examinations.
•       Design & contribute to various daily reports as required.
•       Ensure all transactions are suitable for each mutual fund and segregated fund customer.
•       Recognize non-compliance and/or areas of risk and provide recommendations to the Manager, Investment Compliance.
•       Provide professional daily supervision and compliance advice to registered Advisors
•       Assist in compliance-related mutual fund Advisor training.
•       Assist in departmental projects and procedure development.

 

Who are we looking for?

 

•       A minimum of 4 years of job-related experience including 2 years' experience as a current- registered Mutual Fund Advisor.  
•       High School Diploma plus some additional post-secondary courses.
•       Must have the necessary requirements to immediately be registered as a mutual fund dealer branch compliance manager. 
•       Completion of the Canadian Securities Course, or the IFIC Mutual Funds course, along with the appropriate mutual fund branch manager’s course. 
•       Currently registered as a Mutual Fund branch manager or qualified to be immediately registered (academic plus experience requirements). 
•       Completion of the Life Licensing Qualification Program (LLQP) a definite asset.
 

 

 

At Coast Capital, we value diversity, equity and inclusion. We’re not all the same and we like it that way. We don’t just accept differences - we celebrate, support, and we thrive on them for the benefit of our employees, our members, and our community. We are committed to building a team that represents a variety of backgrounds, perspectives, and skills. We believe, the more inclusive we are, the better our work will be.

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