Specialist, Compliance Supervision Tier 2 - Winnipeg, Canada - Harbourfront Wealth Management Inc.

Harbourfront Wealth Management Inc.

Verified Company

Winnipeg, Canada

3 weeks ago

Posted by:

Sophia Lee

beBee Recruiter

Description

Who we are:

Harbourfront Wealth Management Inc. is a dynamic industry leader specializing in financial services and wealth management. We are a fast-growing CIRO 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 branches across Canada.

Career opportunity:

You will be responsible for:

Monitoring for compliance with regulatory, operational, and investment requirements;
Participating in the ongoing review of the firm's policies and procedures;
Assisting in the review and assessment of client complaints;
Supporting or leading various compliance projects;
Assisting with internal and external regulatory audits;
Supporting the compliance review of marketing materials;
Providing backup coverage for other members of the team;
25 years of experience in a compliance department with a CIRO Dealer Member (previously IIROC Dealer Member);
Post secondary education, preferably with a business or securities law focus;
Superior knowledge of regulatory, legal, and other issues facing the securities industry, including the regulatory requirements of CIRO and the CSA;
Completed or is enrolled in the Canadian Securities Course;
Strong communication skills with the ability to convey sophisticated ideas and legal requirements in plain language;
Solid listening skills with a collaborative teamwork approach and the ability to prioritize and meet deadlines;
Excellent accuracy, attention to detail, analytical, research, investigative, problem solving and decisionmaking skills;

Salary Range:
$60,000 - $70,000 per annum (actual salary offered will be commensurate with education, experience, and internal parity).

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.

Job Types:
Full-time, Permanent

Salary:
$60,000.00-$70,000.00 per year

Benefits: