Compliance Officer

Job Description:

• Provides advice and guidance to client service teams on account opening, KYC, AML, and other related business processes
• Conduct compliance reviews and assess effectiveness of internal controls
• Review and approve marketing and advertising materials
• Monitor and supervise trading activity through Latent Zero Sentinel compliance system
• Prepare compliance reports for funds and client
• Ensure the firm complies with client’s investment policy statements by reviewing and escalating daily alerts generated from the compliance monitoring system
• Assist in the oversight of the firm’s policies, processes, and procedures as they relate to securities regulations, AML, and FATCA/CRS.
• Develop and enhance processes for the firm’s automated compliance monitoring system, including rules maintenance, implementation, and updates.
• Assist in the preparation and filing of regulatory reporting
• Develop written procedures and implement internal controls
• Support the development of the firm’s business and perform other duties or special projects as assigned
  

What We Offer:

• Employee Ownership: This is the heart of what makes Leith Wheeler different. As an employee-owned firm, we believe in rewarding those who contribute to our collective success. Team members have the opportunity to become future shareholders and grow alongside the firm.
• Open and Transparent Culture: We value open dialogue,collaboration, and trust. Everyone has a voice, and ideas are encouraged - whether they come from a new hire or a long-time partner.
• Team-Oriented and Supportive Environment: You’ll work closely with experienced professionals who are approachable, respectful, and invested in each other’s success.
• Learning and Development: As part of a boutique firm, you’ll gain exposure to multiple facets of the investment business and have the chance to broaden your skills and impact.
• Shared Purpose: Join a firm built on independence, integrity, and long-term relationships where we measure success by the trust we build and the results we deliver for our clients.
• Competitive Compensation Package: Salary range of $80,000 - $100,000 per annum, with flexibility for exceptional candidates with highly relevant experience.
• Benefits: Comprehensive health and dental benefits from day one (no waiting period).

Job Qualifications:

• 5 to 10 years of relevant experience within a registered portfolio manager, investment management, or securities firm
• Post-secondary degree in finance, Business, Law, or a related field
• CFA Charter or enrollment in the CFA program is an asset or enrolment in or completion of relevant courses such as the Canadian Securities Course (CSC), Conduct & Practices Handbook (CPH), or progress toward compliance-related certificate or designation
• Experience working with a variety of client types, such as individuals, foundations, pensions, charities, etc.
• Good understanding of the Canadian securities’ regulatory environment
• Experience with various compliance requirements including AML, investment funds, FATCA/CRS
• Proficiency in Excel, Word, PowerPoint, and Outlook
• Experience with AI-enabled tools and their practical application to compliance, regulatory research, data analysis, and workflow automation is an asset
• Experience with portfolio accounting systems (e.g. APX) is preferred
• Experience with order management and compliance systems is an asset
• Familiarity with Salesforce software is preferred
  

Professional Competencies:

• Client-first mindset and ability to communicate with professionalism
• High attention to detail and strong organizational skills
• High degree of professional ethics and integrity
• A keen eye for detail
• Thrives in a team environment, and effectively contributes to the team
• Highly proficient at managing multiple tasks and changing priorities