At , we strive to build value for the people who choose us every day : our people, our clients and our investors. We do this by :
Putting people first and building relationships with intention
Seeking out and embracing new ideas
Believing that how we do things is as important as what we do
Role Specifications
Hybrid work environments. Collaborative connections.
Flexible work location : Edmonton, AB. Calgary, AB. Toronto, ON.
The opportunity
We’re seeking a Compliance Officer to oversee investment funds, manage annual attestations, and handle training administration.
In this role, you'll support the AVP, Wealth Compliance in developing and refining our compliance program. Your efforts will ensure we meet regulatory requirements while contributing to the achievement of our organizational goals.
Areas of focus
Support the AVP, Compliance in managing risks ensuring adequate internal controls and compliance to regulatory requirements.
Assist in the management of personal trading, monthly and quarterly reporting, and employee training.
Conduct suitability reviews, IPS monitoring, and review fund disclosure documents.
Assist with annual attestations, compliance audits, and assurance reporting.
Collaborate on compliance policies, procedures, and marketing-related material approvals.
Work with Operations / Trading for reporting on the best execution, trade allocation, and errors.
Participate in annual AML controls testing, broader compliance initiatives, and continuous improvement projects.
Successful incumbent
This role requires someone with a strong understanding of compliance and operations, excellent communication, and analytical skills.
The successful candidate will quickly master compliance software, deliver effective training, and excel in data interpretation.
Attention to detail and the ability to work well within a diverse team environment are essential for success.
Core knowledge requirements and Demonstrated Experience
Post-secondary diploma or degree in a related field, and / or equivalent experience
Completion of Canadian Securities Course (CSC)
Two (2) or more years of compliance experience within an asset management firm
Demonstrated knowledge and understanding of securities regulatory requirements and compliance functions
Familiar with securities legislation (incl. NI 31-103, NI 81-102 and more)
Fundamental understanding of client business operations and transactions in a portfolio manager.
Why work with us?
Wellness matters. We offer an award-winning benefits package that includes :
hybrid work environments
everyday flexibility
company-funded health coverage
health care spending account
a flexible wellness program
generous time-away options to unplug, rest & recover.
Career development. We commit to our employees’ development and help them reach their professional goals with :
organization wide coaching services
mentorship
education support & training programs.
Bring your whole self to work. Inclusion is a journey requiring practice & experience to result in a powerful outcome. Your perspective matters & voice will be heard.
Find community within the CWB family in our employee represented groups.
LI-AI1
As an equitable employer, CWB Financial Group is committed to providing a safe and where a diverse workforce thrives. You are welcomed and encouraged to bring your whole self to work.
Dignity, respect and equality are non-negotiables. If you require during any part of the recruitment or selection process, please reach out.
Closing Date :
Position closes at 12 : 01am on the close date identified below.
09 / 7 / 2024
Compliance Officer, Wealth
In this role, you'll support the AVP, Wealth Compliance in developing and refining our compliance program. Support the AVP, Compliance in managing risks ensuring adequate internal controls and compliance to regulatory requirements. Assist with annual attestations, compliance audits, and assurance re...
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