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Compliance Officer in Calgary at Jones Graham Consultants Inc

Date Posted: 5/12/2018

Job Snapshot

  • Employee Type:
    Full-Time
  • Location:
    Calgary
  • Job Type:
    Other
  • Experience:
    Not Specified
  • Date Posted:
    5/12/2018

Job Description

Category: Financial Services

Location: Calgary Alberta Canada

The primary responsibility for this role is to provide compliance supervision.

Primary Responsibilities 
  • New account approvals 
  • Trade supervision and monitoring of client accounts 
  • Review of sales & advertising materials 
  • Email and social media communication monitoring 
  • Anti-Money Laundering regime including client identification, suspicious transaction review and risk assessments for the individual business segment 
  • Conduct reviews for individual and high net worth business segment 
  • Update policies and procedures, and implement required process changes as necessary
  • Interpret new and updated regulatory/compliance requirements and implement into business processes 
  • Proactively provide compliance advice and consultation to business segments 
  • Continuous improvement of processes and workflows 
  • Provide back-up for the other members of the Compliance team 
 Education 
  • University Degree (Finance, Accounting, Economics, or Mathematics)
  • Canadian Securities Course (CSC) 
  • Conduct and Practices Handbook (CPH) 
  • Branch Managers Course (BMC) 
  • Wealth Management Essentials (WME)
  • Successful completion of the CSI-sponsored Effective Management Seminar 
  • Minimum 7 years’ experience in a compliance role at an investment firm 
  • Able to be registered as a Supervisor with IIROC in the role of Supervisor 
  • Working knowledge of Canadian securities laws, regulations and IIROC rules 
  • Knowledge of discretionary and non-discretionary investment services 
  • Experience with high net worth individual clients 
  • Knowledge of regulations pertaining to mutual funds issued in Canada 
  • Knowledge of Charles River Trading System, or similar trading system, and Global Relay System would be an asset 
  • Proficient with MS Office, specifically Excel 
  • Excellent interpersonal and communication skills 
  • Superior problem-solving and analytical skills 
  • Strong time management and project management skills 
  • Ability to think critically, multi-task, and make decisions in a fast-paced environment 
  • Strong organization and prioritization skills with exceptional attention to detail 
  • Ability to work independently and as part of a team


Details Apply Now