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    Manager, Regulatory Affairs - Winnipeg, MB, Canada - Harbourfront Wealth Management

    Harbourfront Wealth Management
    Harbourfront Wealth Management Winnipeg, MB, Canada

    6 days ago

    Default job background
    $80,000 - $110,000
    Description
    Harbourfront Wealth Management Inc. is a dynamic industry leader specializing in financial services and wealth management. 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 28 branches across Canada.

    We currently have a career opportunity for a Manager, Compliance Supervision reporting to the Chief Compliance Officer.

    This role will be based out of either our head office in Vancouver, BC, at our satellite head office in Burlington, ON or Winnipeg, MB .

    The Manager, Compliance Supervision 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.

    New account approvals and account updates;
    Tier 1 supervision activities of non-managed and managed accounts;
    Conducting quarterly reviews of managed accounts;
    Oversight of the 30 and 90 day training program of new registrants;
    Participating in internal branch audits as well as external regulatory audits;
    Supporting Investment Advisors and Portfolio Manager with compliance inquiries;
    Providing ongoing compliance education and training for registered personnel; Special projects as assigned.

    5+ years experience in a compliance department with at least 3 years as a Tier 1 Supervisor for a CIRO Dealer Member (previously IIROC Dealer Member);
    ~ Must qualify to be immediately registered as a designated supervisor of managed accounts with CIRO;
    ~ In-depth knowledge of the financial services industry including understanding of regulatory requirements of CIRO and the CSA;
    ~ Strong oral and written communication skills and must be able to effectively communicate with different levels of staff including advisors and senior leadership;
    ~ Proficiency with MS Office applications;


    Definite Assets:
    Knowledge of National Bank office processes and tools; Experience with Portfolio Aid 360 Software, PureFacts, DocuSign, Croesus and other compliance applications;

    Diversity and Inclusion
    Diversity is an important value to us.

    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.

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