Compliance specialist Jobs in Regina, SK

Posting Details

Job Details

Description

At Thrive Wealth Management, we help clients strengthen their financial security and turn their wealth goals into reality. Our vision is to be the premier wealth management partner in every market we serve, providing personalized solutions for every stage of life – delivered by passionate professionals committed to earning trust with our clients and making a meaningful impact in their lives

Thrive Wealth Management is a wealth management subsidiary of Conexus Credit Union serving members of credit unions and their communities. Financial advice and planning are core to what we provide for clients, including investment advice, retirement savings, income planning, estate, and protection advice.

We share the values that our credit union partners demonstrate, while providing the professionalism and knowledge that is vital for investment management. We conduct ourselves with integrity in everything we do, we show respect for every individual who comes through our doors, and we inspire and promote an environment of accountability.

We acknowledge that our Thrive offices and facilities are located on Treaty 2, 4, 5, 6, 8 and 10 lands. These are the traditional lands of the Cree, Dakota, Dene, Lakota, Nakota and Saulteaux peoples, as well as the homeland of the Métis.

The bigger picture:

We’re looking for a collaborative, detailed oriented Wealth Compliance Officer to join our Thrive Wealth Management team, in partnership with Aviso Financial Inc. In this role you will provide mutual fund compliance supervision and guidance for licensed advisors ensuring in alignment with regulatory and dealer requirements. You’ll work with an experienced team of credit union employees as well as colleagues within the credit union walls to ensure mutual fund sales, services and activities meet compliance requirements.

How you’ll spend your time:

• Providing developmental and technical support to strengthen mutual fund registered advisors’ compliance knowledge, routines and best practices.
• Reviewing and evidencing approval for new accounts, trades, KYC updates and account changes
• Ensuring sales and service activities meet compliance regulations to mitigate risk for the client, advisor and the Credit Union.
• Collaborating with the team and proactively identify and recommend areas of efficiency aligned to policy and procedure
• Delivering organization-wide consistency when adopting process changes.

The way people describe you:

• Detail-oriented and confident in mastering procedures, problem solving, and communicating solutions.
• An excellent communicator with the ability to work closely with individuals in person and remotely.
• Informal leader who builds trusting working relationships with our credit union partners and staff.
• A natural team player with proven success in customer service.

The experience you bring:

• 2+ years mutual fund compliance experience
• CSC or IFIC
• Branch Compliance Manager/ Officer Course (consideration will be given to those with the ability to obtain course ASAP)
• Extensive industry knowledge and understanding of compliance requirements
• Exceptional attention to detail
• Commitment to continuous learning and development

Salary Range:

$63,020 - $78,780 with 10% Short Term Incentive Target

Various Thrive locations will be considered however not all locations may be able to accommodate this role.

Benefits and Perks

The success of our clients relies heavily on the performance and accomplishments of our employees. That’s why we prioritize offering our team a variety of perks and benefits designed to support their success and well-being both at work and in their personal lives. Some of these additional benefits include, but are not limited to:

• Generous vacation benefits with additional paid time off, giving you time to spend on what’s most important to you.
• Competitive benefit package options, covering all aspects of personal wellness.
• Pension matching to support you towards retirement.
• Preferred rates for all your banking needs, helping to make life more affordable.