Compliance Officer - Calgary, Canada - Stifel Nicolaus Canada Inc.

Stifel Nicolaus Canada Inc.

Verified Company

Calgary, Canada

4 weeks ago

Posted by:

Sophia Lee

beBee Recruiter

Description

Summary_

Stifel Canada has a strong position in the Canadian market, has an international reach and is continuing to grow by adding top talent.

The role offers an opportunity to work both independently and as a team in a fast-paced dynamic environment.

Essential duties and responsibilities_
Conducting tier 2 daily reviews of Stifel Canada approved person activities and ensuring the suitability of investments and other compliant trading practices;
Completing tier 2 monthly reviews to identify trends developing in trading of specific advisors and/or client accounts with an emphasis on suitability, concentration, potential conflicts of interest and unusual transactions, conducting detailed analysis and escalating concerns to the Chief Compliance Officer;
Communicating with Registered Representations, Compliance Officers and/or Supervisors regarding the resolution of noncompliant trading practices;
Responding to inquiries from Stifel Canada employees;
Upholding the standards outlined in the Stifel Canada Compliance Manual and applicable industry regulations;
Reviewing and approving advertising and sales communications as assigned;
Reviewing and authorizing account opening and transaction forms;
Monitoring trading activity through Fidessa, Dataphile, NASDAQ Trade Surveillance and Portfolio Aid;
Responsible for handling firm and individual registration related matters pertaining to the New Self-Regulatory Organization (formerly, IIROC), and CSA filings, including suitability review of registrant files as required;
Knowledge of IRROC Rule 3600 Research rules;
Continually evaluate the effectiveness of departmental procedures and participate in developing, maintaining and implementing changes to the policies and procedures;
Distribute Compliance forms for new hires and review upon return for outside business activities, outside trading accounts, etc.; and
Assist with other Compliance functions as required.
Qualifications_
College Diploma or University Degree;
Minimum 3 years of collective experience in retail Compliance;
Exercise good judgment on regulatory and supervisory issues;
Good understanding of regulatory requirements and industry rules across Canada;
Successful completion of the following courses is an asset: Canadian Securities Course, Conducts and Practices Handbook, Investment Dealer Supervisors Course;
Knowledge of Fidessa, Dataphile, NASDAQ Trade Surveillance and Portfolio Aid is an asset;
Excellent organizational skills and proven ability to prioritize and multitask;
Excellent written and verbal communication skills;
Very strong technical aptitude, attention to detail and problem solving skills;
Strong knowledge of Microsoft Office;
Strong conflict resolution skills; and
Ability to work independently.

About STIFEL Canada

Stifel Canada is a subsidiary of Stifel Financial Corp., a public (NYSE - SF) full-service global investment bank with over 8,500 personnel operating in Canada, the United States and Europe.

This includes over 400 investment banking professionals serving the needs of growth companies through specialized expertise and strong relationships within its core industries.

As a growth company itself, Stifel's passion is in bringing the right combination of people, products and services to the table to help our clients grow and excel for the long term.

At Stifel Canada we offer an entrepreneurial environment, competitive pay, comprehensive benefits package to include health, dental, paramedical and vision care, HCSA, wellness initiatives, life insurance, and paid time off.

Inclusiveness and Equal Opportunity

Stifel Canada is committed to fostering an inclusive, fair, accessible environment, where all employees and customers feel valued, respected and supported.

If you require an accommodation for the recruitment process, please let us know and we will work with you to meet your needs.