Compliance Officer (14-month contract position) for ZLC Private Investment Management (www.zlcpim.net)
The Compliance Officer (CO) ensures that the firm and its staff demonstrate compliance by adopting prudent supervisory systems, internal controls and manage the risks associated with its business in accordance with prudent business practices.
The CO must have thorough knowledge and understanding of compliance policies and procedures and the practical application of relevant provincial securities and IIROC rules and regulations and other applicable regulatory requirements, and Privacy.
The CO must cover or oversee the basic components:
- review and approval of new client accounts – ensure that the know-your-client (KYC) information is complete and that the recommendations are suitable for the client’s investment circumstances and/or meet the client’s investment objectives, for example, as set out in an investment policy statement
- review trade for errors, proper settlement, unusual trading activity, and compliance with clients’ investment mandates
- monitoring the firm’s marketing activities, such as electronic and print advertising and monitoring the sales practices of the firm’s representatives
- reviewing, responding, and investigating client complaints within a reasonable period
- meet regularly with the firm’s senior management to ensure the firm’s senior management properly address compliance issues.
Demonstrates expertise in a variety of the field’s concepts, practices, and procedures. Relies on extensive experience and judgment to plan and accomplish goals.
- CFA charterholder, minimum 3 years
- 3-5 years experience in a similar role
- Completion of Canadian Securities Course and the Conduct and Practices Handbook Course through the Canadian Securities Institute
- Understanding of provincial and federal filing and compliance requirements.
- Good interpersonal skills and ability to maintain strong client relationships.
- Superior knowledge of Microsoft applications (including Word, Excel and Power Point) and familiarity with the internet and related applications as tools for conducting compliance related research
Please send a cover letter and your resume to email@example.com with “Career” in the subject line.
Please indicate salary expectations.
We thank all applicants who apply, but only those candidates selected for an interview will be contacted.