Senior Compliance Officer

Website Harbourfront Wealth Management

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Who we are:
Harbourfront Wealth Management Inc. is a dynamic industry leader specializing in financial services and wealth management. We are a fast-growing employee-owned firm and IIROC registered securities dealer. The firm provides financial services and holistic wealth management solutions for mid to high-net-worth individuals. At Harbourfront Wealth Management, our core values start with the belief that great people make great companies. Our head office is in downtown Vancouver with over 20 branches across Canada.

Career opportunity:
We currently have a career opportunity for a Sr. Compliance Officer reporting to the Senior Manager of Compliance. This role will be based out of our head office in Vancouver, BC, or at our satellite head office in Burlington, ON. The Sr. Compliance Officer role contributes to the overall supervision activities of the compliance department and promotes a culture of compliance throughout the firm. We are looking for a highly motivated candidate who can build solid relationships, has a passion for providing high quality customer service, and is eager to expand their career in compliance and supervision.

Key responsibilities
• Tier 1 / Tier 2 supervision as required, transaction review, new account and account update approvals
• Identification of unusual or unsuitable activity
• Manage supervisory inquiries and file maintenance until resolution
• Provide support and training for Sales Personnel
• Provide assistance with investigations related to complaints, regulatory inquiries, etc.
• Conduct business location reviews, and support regulatory business conduct reviews
• Review of marketing and other materials
• Special projects as assigned

Ideal candidate qualifications:
• 5+ years’ experience in the financial services industry preferably with an IIROC dealer (preferred 3-5 years in a Branch Manager or Compliance supervisory role)
• Must meet the regulatory proficiencies and experience requirements to be registered as a Supervisor of Registered Personnel
• Experience with a Managed Account Platform
• Strong knowledge of industry rules and regulations
• Strong verbal and written communication skills
• Strong analytical skills with attention to detail
• Demonstrated ability to prioritize, multitask, work within time constraints and follow-up
• Demonstrated ability to work in a team environment and professionalism
• Demonstrated ability to learn quickly, results driven, thrives within a fast-paced environment
• Strong analytical, problem-solving, and organizational skills
• Proficiency with MS Office applications

Definite Assets:
• Relevant experience in the Wealth Management industry is a definite asset.
• Knowledge of National Bank office processes and tools
• Branch Manager or RR registration (securities)

Why it is great to work at Harbourfront:
Harbourfront offers our team members a dynamic, collaborative and family-focused environment. In addition to a competitive base salary, we provide:
• Amazing opportunities for personal growth and development
• A competitive compensation and comprehensive benefits
• A supportive, engaging, tight-knit culture

At Harbourfront:
• We respond quickly and effectively to changes in the marketplace and seize new opportunities.
• We trust each other and work in unison towards a common objective.
• We prioritize clients’ needs.
• We are encouraged to act, have a bias for urgency, a focus on solutions and are proud of our results.
• We pioneer novel products and services.
• We consistently act honestly and ethically.
• We are rewarded for our results and development opportunities exist for all employees.
• We treat each other with dignity and kindness.
• We hold ourselves and each other accountable and say what needs to be said in a timely and respectful manner.

Diversity and Inclusion
Diversity is an important value to us. We are committed to providing equal opportunities in employment and to providing a workplace which is free from discrimination and harassment. This means that all job applicants and employees will receive equal treatment regardless of race, colour, ethnic or national origins, sex, marital status, disability, age, sexual orientation, religion, or belief.

Please send a copy of your cover letter and resume to [email protected]

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