Chief compliance officer Jobs in Laval, QC

PWL Wealth Management is a premier independent Canadian Wealth Management firm. Canadian High Net Worth families entrust PWL to manage their investment portfolios on a discretionary basis and provide holistic financial advice for all facets of their lives.

Financial Planning, Tax and Estate services are delivered via PWL Conseil, and investment management is delivered via PWL Capital which is a Broker Dealer and CIRO member firm. Both PWL Conseil and PWL Capital are wholly owned subsidiaries of PWL Wealth Management, with more than 90 employees.

Location : Hybrid, office presence required once a month in Ottawa or Montreal

Type : Permanent, Full-Time

Team : Compliance Team

Position Summary

PWL is searching for a Compliance Officer to join an engaging and fast-paced environment. The successful candidate will support the Compliance Team and will report to the Chief Compliance Officer. The Compliance Officer will be responsible for implementing and administering all aspects of the compliance program and handling all administrative matters thereto. The Compliance Officer will plan, organize, and control day-to-day administrative and operational compliance activities.

This is an opportunity for someone who is passionate about compliance processes to work alongside a small team committed to providing exceptional service to their clients while also using their expertise to facilitate the development and implementation of operational compliance activities.

Responsibilities & Activities

Daily

• Review certain client’s risk rating.
• Complete trade error corrections as required. (once CIRO registered)
• Preparation of the post-trade daily trade review of all non-managed and managed account trades;
• Developing, implementing, and managing an organization’s corporate-wide compliance program.
• Coordinating with provincial or territorial regulators.
• Planning, implementing, and overseeing risk-related programs.
• Creating and coordinating proper reporting channels for compliance issues.
• Writing and distributing company compliance communications.
• Coordinating and scheduling required compliance training for employees.

Monthly

As required

Qualifications and Skills

Must have, or be willing to obtain, a compliance certification in the following :

We are a rapidly growing team with a diverse group of clients – there is never a dull moment. We are thought leaders in the financial services industry, and we have been putting our client interests first for almost 30 years. Please apply with your cover letter and CV detailing why you feel you are the right fit for this role. We will contact you if you are accepted for a candidate interview. Thank you for your interest in this position.

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