Compliance Specialist
Location(s): British Columbia (CA-BC), Surrey
Job Type: Full Time
myWork Options: Remote, Hybrid & In-person
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 and Registration,
• 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 advisor.
• Currently registered as a Mutual Fund Branch Complaince Manager or qualified to be immediately registered and complete the course. (academic plus experience requirements).
• Completion of the Life Licensing Qualification Program (LLQP) a definite asset.
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