Mutual Funds Compliance Specialist - City Of Langley - First West Credit Union

    First West Credit Union
    First West Credit Union City Of Langley

    1 week ago

    Full time
    Description

    We are currently seeking a Mutual Funds Compliance Specialist to join our team.

    The Mutual Funds Compliance Specialist is accountable for daily and monthly Tier 1 supervision of mutual fund registered advisors. Serving in a dual capacity for the Credit Union and Aviso Wealth, this role ensures that all mutual fund activities comply with internal policies as well as external regulatory requirements set by Aviso Wealth (AW-MFD), the Canadian Investment Regulatory Organization (CIRO), and the BC Securities Commission (BCSC). The Specialist upholds established compliance programs and fosters ongoing compliance education, contributing to organizational growth while prioritizing risk mitigation and strict adherence to all applicable regulations.

    Here's what would be included as a part of your typical day


    1. Compliance: Performs daily and monthly Tier 1 reviews of advisor trading activity, and approval of all account documents (e.g., NAAF, KYC updates, Trading Authorization) within prescribed timelines, ensuring compliance with CIRO MFD Policy 2 minimum standards for supervision. Communicates regulatory, procedural, and dealer-driven changes to assigned registered representatives. Handles and escalates client complaints, compliance queries, contributes to compliance training, and supports continuous education initiatives.
    2. Collaboration & Business Delivery: Acts as a primary contact for an assigned group of advisors regarding compliance matters, supporting daily inquiries and follow-up documentation. Works collaboratively with others with the common goal of driving positive results. Assists advisors in overcoming obstacles through additional resources, removal of roadblocks, and providing the level of support required for their success. Delivers feedback to performance leaders based on the in-depth understanding of their assigned team members.
    3. Reporting: Handles and tracks compliance issues as identified, through to resolution and/or appropriate escalation. Maintains accurate and complete issue management logs and provides reporting to Aviso Wealth Tier 2 compliance.
    4. Risk Management: Ensures all First West, Aviso Wealth, and securities regulatory procedures are followed by registered employees. Maintains compliance standards to consistently achieve annual "green" audits and reviews. Monitors advisor activities for outside business activities, personal financial dealings with clients, and potential red flags in assigned branches.
    5. Change Management & Projects: Supports compliance-related projects, initiatives, and strategic objectives in partnership with wealth management leadership. Collaborates with internal and external stakeholders to maximize operational efficiency and compliance effectiveness. Stays abreast of regulatory changes and support advisors with ongoing compliance education and training.

    Required Skills, Experience & Qualifications

    • Minimum 3-5 years of experience in financial services, with relevant background in sales, training, administration & securities regulations.
    • College, Trade or Tech School Diploma (2 years) in related discipline required
    • Eligibility to be registered as a Branch Manager with CIRO MFD.
    • Experience as Branch Compliance Manager, Compliance Officer, or Advisor in an IIROC/MFDA environment.
    • High level of product knowledge, securities industry rules and regulations.
    • Demonstrates the capability to work independently while also contributing effectively within a team setting.
    • Exhibits strong interpersonal and communication abilities, both in verbal and written formats.
    • Displays proven organizational skills with a track record of managing multiple responsibilities and consistently meeting deadlines.
    • Possesses expertise in conflict resolution, influencing outcomes, and fostering consensus.
    • Upholds high standards of conduct, compliance, and risk management.
    • Commitment to ongoing self-development and keeping current with industry trends and regulatory requirements.
    • Proficient with computer software applications e.g. MS Office (Teams, Outlook, Word, Excel); experience with Broadridge Dataphile is an asset.
    • Displays an understanding of risk and risk ownership by being able to demonstrate adherence to policies and procedures.

    #J-18808-Ljbffr
  • Work in company

    Mutual Funds Compliance Specialist

    Only for registered members

    We are currently seeking a Mutual Funds Compliance Specialist to join our team. · The Mutual Funds Compliance Specialist is accountable for daily and monthly Tier 1 supervision of mutual fund registered advisors.Serving in a dual capacity for the Credit Union and Aviso Wealth, th ...

    City of Langley

    1 week ago

  • Work in company

    Mutual Funds Compliance Specialist

    Only for registered members

    We are currently seeking a Mutual Funds Compliance Specialist to join our team. · ...

    Township of Langley $64,400 - $82,500 (CAD) Full time

    1 week ago

  • Work in company

    Mutual Funds Compliance Specialist

    Only for registered members

    We are currently seeking a Mutual Funds Compliance Specialist to join our team. · The role includes daily and monthly Tier 1 supervision of mutual fund registered advisors, · ensuring compliance with internal policies as well as external regulatory requirements. ...

    Langley, BC

    1 week ago

  • Work in company

    Compliance Specialist

    Only for registered members

    Kardium has a unique opportunity for a Compliance Specialist. The position reports to the Senior Manager, Compliance. This is an exciting and significant milestone in our journey to bring this ground-breaking technology to patients. · ...

    Burnaby $70,000 - $100,000 (CAD)

    2 weeks ago

  • Work in company

    Compliance Specialist

    Only for registered members

    Kardium has a unique opportunity for a Compliance Specialist to support the maintenance of Kardium's Quality Management System (QMS). · ...

    Burnaby $70,000 - $100,000 (CAD) Full time

    1 week ago

  • Work in company

    Compliance Specialist

    Only for registered members

    Compliance Specialist: Join Kardium's QA/RA Team to support the maintenance of our Quality Management System (QMS). As a member of the team you will provide QA support to Clinical Operations including vendor site audits acting as an internal audit team member maintaining clinical ...

    Burnaby, BC

    2 weeks ago

  • Work in company

    Specialist, GxP Compliance

    Only for registered members

    We are proud to bring together individuals from a wide breadth of industries, backgrounds, and experiences with a diverse team committed to excellence. · This supports the maintenance and leads the improvement of Quality Management System to ensure the quality safety and complete ...

    Delta

    1 month ago

  • Work in company

    Environmental Compliance Specialist

    Only for registered members

    Job Description Summary · As the Environmental Compliance Specialist, you will ensure that STEMCELL complies with evolving environmental regulations and reporting standards to maintain global market access and meet customer expectations. In this position you will play a critical ...

    Vancouver $81,700 - $122,500 (CAD) Full time

    6 hours ago

  • Work in company

    Packaging & Compliance Specialist

    Only for registered members

    Nutri-Nation is a custom manufacturer of nutritional food bars seeking a detail-oriented Packaging & Compliance Specialist to join their fast-growing nutrition bar manufacturing team. · ...

    Port Coquitlam $26 - $36 (CAD)

    3 weeks ago

  • Work in company

    Senior Specialist, Compliance

    Only for registered members

    The Senior Specialist supports the quality of the TSXV market by interacting with Issuers that have become noncompliant or require tier movement. · Analyze financial and continuous disclosure documentation. · Identify Issuer noncompliance. · ...

    Vancouver, British Columbia

    1 month ago

  • Work in company

    Senior Specialist, Compliance

    Only for registered members

    The TMX group of companies includes leading global exchanges such as the Toronto Stock Exchange. · United as a global team, we're connecting cross-functionally, · traversing industries and geographies. · We're powering some of the nation's most critical systems, · fueling capita ...

    Vancouver $80,500 - $85,000 (CAD)

    1 month ago

  • Work in company

    Packaging & Compliance Specialist

    Only for registered members

    We are seeking a detail-oriented and proactive Packaging & Compliance Specialist to join our fast-growing nutrition bar manufacturing team. · ...

    Port Coquitlam, British Columbia

    3 weeks ago

  • Work in company

    Senior Specialist, Compliance

    Only for registered members

    The TMX group of companies includes leading global exchanges such as the Toronto Stock Exchange, Montreal Exchange. United as a global team we're connecting cross-functionally traversing industries and geographies moving opportunity into action advancing global economic growth pr ...

    Vancouver $80,500 - $85,000 (CAD) Full time

    1 month ago

  • Work in company

    Senior Specialist, Compliance

    Only for registered members

    The TMX group of companies includes leading global exchanges such as the Toronto Stock Exchange, Montreal Exchange, and numerous innovative organizations enhancing capital markets. United as a global team, we're connecting cross-functionally, traversing industries and geographies ...

    Vancouver, BC

    1 month ago

  • Work in company

    Governance, Risk and Compliance Specialist

    Only for registered members

    We are looking for motivated self-starters with innovative thinking to join our team and help us achieve our growth and performance goals. As a Governance, Risk and Compliance Specialist,you will play a pivotal role in helping the organization maintain secure systems and processe ...

    Coquitlam, BC VK B

    3 weeks ago

  • Work in company

    Indirect Tax Compliance Specialist

    Only for registered members

    We are looking for an Indirect Tax Compliance Specialist to join our Finance Team in Bangkok. As a key member of the team, you will be responsible for supporting the Tax Team in indirect tax compliance matters related to VAT, service tax, sales tax and other indirect taxes. · ...

    Vancouver, British Columbia

    3 weeks ago

  • Work in company

    Senior HR Specialist, Compliance

    Only for registered members

    The Global Relay HR team champions our corporate culture by bringing together dedicated and hardworking individuals who aspire to learn and grow with the company. · Maintains a thorough understanding of all audit controls and applicable HR processes · ...

    Vancouver $80,000 - $100,000 (CAD) Full time

    1 week ago

  • Work in company

    Indirect Tax Compliance Specialist

    Only for registered members

    We are looking for an Indirect Tax Compliance Specialist to join our Finance Team in Bangkok. The role involves working with our US parent company, international offices, business managers, functional teams, IT and other finance and legal colleagues. · Analyze and optimize intern ...

    Vancouver

    3 weeks ago

  • Work in company

    Governance, Risk and Compliance Specialist

    Only for registered members

    We are re-defining what safety means for fleets of every type – from school buses to waste collection trucks, firefighting to utility vehicles, police cruisers to delivery vans. · Support and assist the GRC Manager in conducting external audits... · ...

    Coquitlam $75,000 - $100,000 (USD) Full time

    3 weeks ago

  • Work in company

    Senior HR Specialist, Compliance

    Only for registered members

    The Senior HR Specialist will oversee HR compliance and audits to ensure data accuracy and adherence to controls and information security requirements. · ...

    Vancouver, British Columbia

    1 month ago

  • Work in company

    Governance, Risk and Compliance Specialist

    Only for registered members

    +Job Summary · As a Governance, Risk and Compliance Specialist, you will play a pivotal role in helping the organization maintain secure systems and processes while adhering to regulations and industry standards. · +Support and assist the GRC Manager in conducting external audits ...

    Coquitlam $75,000 - $100,000 (USD)

    3 weeks ago

Jobs
>
Langley