David Aplin Group

Senior Compliance Manager (BB-6E12D)

Found in: Neuvoo CA

David Aplin Group, one of Canada's Best Managed Companies, has partnered with our client to recruit for a Senior Compliance Manager based in the historic Exchange District in Winnipeg.

Our client is a progressive, entrepreneurial and growing wealth management firm that prides itself on helping clients take full advantage of capital market investment opportunities across stocks, bonds, private equity and real estate. 

The Senior Compliance Manager will support the continued growth of its Canadian operations. Working with and reporting to the Chief Compliance Officer, the ideal candidate should be familiar with the Canadian regulatory environment as well as IIROC or Discretionary Management and Investment Policy Statements.  The successful candidate will be responsible for monitoring and supervising various aspects of compliance nationally across the firm.

The Role:
  • Approval of new accounts, new account application forms and related required documentation
  • Oversight of referral arrangements
  • Policy and procedural development
  • Supervision of a small number of remote branch locations, registered Advisors and Associate Advisors
  • Training of registered and non-registered staff to ensure awareness and compliance with new and revised securities regulatory requirements and internal supervisory and compliance policies and procedures
  • Establishing effective working relations with regulator staff and resolution of Regulatory Audit issues as needed
  • Special projects with the CCO to support ongoing growth initiatives
The Ideal Candidate will have:
  • Minimum 3 years of securities industry experience, including compliance experience in a regulated firm (IIROC, MFDA, Discretionary Manager)
  • Compliance and audit background
  • Understanding of current securities regulatory issues including N1 31-103, conflicts of interest, client-focused reforms.
  • Industry courses (CSC, Branch Managers’ Course, and/or Partners, Directors and Senior Officers) or willing to complete within a short time frame
  • Undergraduate degree and CPA designation an asset
The Benefits of working with our client:
  • Exceptional Compensation; Extremely competitive salary and comprehensive benefits package
  • Professional growth; Providing an opportunity to develop your career in a fast-growing, entrepreneurial Winnipeg based group of companies with diverse assets across stocks, bonds, private equity and real estate
  • Mentorship; The opportunity to mentor with a seasoned Chief Compliance Officer
If you possess the above skills and traits, and desire to make a difference in an amazing local company, we invite you to learn more about this exciting opportunity!

If you are interested in this position and meet the above criteria, please click the Apply button to send your resume in confidence directly to Kimberly Wallace, Consultant, Aplin Accounting & Finance. We thank all applicants; however, only those selected for an interview will be contacted.


If this is your first introduction to us, we invite you to become one of our satisfied candidates. David Aplin Group has been Canadian owned since 1975. Our professional consultants are passionate about helping you find a fulfilling job or career and ensuring your complete satisfaction with our process. Our proven track record, nearly 4 decades long, is largely due to our team of highly skilled and successful specialists. Through superior service and a commitment to long-term relationships, we provide deep specialization in core areas for complete recruiting and HR solutions across Canada - all from one source. We look forward to exceeding your expectations!

Learn more about David Aplin Group and view all of our current job opportunities, career tips, and tools at www.aplin.com. #LI-WPG

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