Compliance & Portfolio Administrator - London, Canada - Tall Oak Capital Advisors

Description

Overview:

Tall Oak Capital Advisors is a boutique investment manager that provides portfolio management and wealth management services to private clients, foundations, pensions, and family offices.

We work closely with our clients to understand all aspects of their finances.

Our fully integrated approach begins with getting to know each client's unique challenges and goals, building a plan to reach those goals, and then executing the plan with precision.

We are seeking an experienced
Compliance & Portfolio Administrator to join our team.


What is the opportunity?

• Assist in implementing and developing the compliance program that reinforces a compliance culture for our organization.
• Ensure the firm is compliant with all applicable laws, regulations, and guidelines, including Anti-Money Laundering (AML) and Anti-Terrorist Financing (ATF) regulations.
• Administer and trade individual client portfolios.

Key Accountabilities
Assist in the development and implementation of compliance policies and procedures for the firm, including:

• Conducting client due diligence reviews of client account activity and client profile information.
• Maintain an understanding of the Proceeds of Crime (Money Laundering) and Terrorist Financing Act, its regulations, and regulatory guidelines published by FINTRAC and identify and report on any issues related to financialrelated crimes.
• Assist in maintaining documents, appropriate recordkeeping, and due diligence according to the Ontario Securities Commission regulations.
• Keep up to date with any changes in laws and regulations that affect the company and give your recommendations on how to comply with them.
• Support the preparation, review, and presentation of compliance materials for the Chief Compliance Officer
• Help create and provide training to the business and its employees.
• Respond to regulatory inquiries and investigations.

Portfolio Administration includes:

• Administer and trade individual client portfolios to adhere to individual investment policy statements.
• Reconcile debit and credit positions in client accounts.
• Provide general trading support to Portfolio Managers.
• Process wire payments to and from client accounts.

What do you need to succeed?

• Musthave: completed the Canadian Securities Course and Conduct and Practices Handbook Course
• 3+ years of experience in a compliancerelated role in the financial services industry.
• Bachelor's degree in business, finance, or a related field, is preferred.
• Knowledge of applicable laws, regulations, and guidelines.
• Experience with regulatory reporting and audits is preferred.
• Professional attitude and adherence to a high ethical standard.
• Excellent analytical and problemsolving skills.
• Strong written and verbal communication skills
• Strong interpersonal and relationship management skills
• Ability to work independently and as part of a team.
• Attention to detail and strong organizational skills.
• Ability to adapt to a fastpaced and changing work environment.
• Willingness to work towards professional certification in compliance, such as Branch Managers Course (BMC), and Partners Officers Directors Course (PDO).

What can we offer you:

• A competitive salary and benefits package.
• We provide opportunities to learn and grow at every stage of your career.
• We foster an inclusive workplace where everyone thrives.

Our culture

Integrity:
We have built our reputation by always acting in our clients' best interest.


Trust:
Trust is at the heart of every client relationship. We act honestly and fairly and we hold ourselves accountable to the highest ethical standards.


Commitment:

Our tenured and approachable team of experienced professionals offer reliable and stable service that our clients can count on.

Centers of Excellence:
Our success is built on our people who have real knowledge and skill. We value intellectual curiosity and relentlessly strive to deliver quality work.


Salary:
$50,000.00-$80,000.00 per year


Benefits:

• Company events
• Dental care
• Extended health care
• Paid time off

Flexible Language Requirement:

• French not required

Schedule:

• Monday to Friday

Ability to commute/relocate:

• London, ON N6A 5P2: reliably commute or plan to relocate before starting work (required)

Language:

• English (required)

Licence/Certification:

• CSC (required)

Work Location:
One location