We’re expanding our Wealth Management team and searching for a passionate, driven and energetic candidate for the position of Compliance Officer .
Skyline Wealth Management, a division of the Skyline Group of Companies, is a premier wealth planning and investment firm that offers clients a best-in-class investor experience, and a comprehensive approach to unique alternative investment products and financial planning services.
This full-time position will be located at our office in Oakville, ON and will report to the Chief Compliance Officer.
Compensation: Starting at $65,000.00 annually plus bonus.
What you will be doing: Apply policies and regulatory rules appropriately to respond to compliance related inquiries from the Wealth Management team.
Assist in the creation and implementation of new and amended policies and procedures for compliance initiatives and controls, ensuring applicable securities laws and National Instruments are adhered to.
Monitor compliance and individuals acting on its behalf, with applicable securities legislation. Perform all trade reviews.
Monitor KYC/KYP suitability and other rules by reviewing applications and trade activity.
Maintain registration for the firm and its registrants.
Assist with departmental and enterprise initiatives as required.
What we look for: Strong oral and written communication skills in English.
Problem solving skills necessary to resolve routine and non-routine compliance issues.
A positive attitude!
You can handle any problem with optimism. Minimum 2 years compliance and/or investment experience with an exempt market dealer.
Why you want to work here: You get a thrill from staying organized and details are your “thing”.
You believe in following the rules and mistakes never get by you.
You get excited about providing superior customer service and from knowing that you positively impact people’s lives every day.
Being that person who can see the problems before they happen (think the matrix) and use good judgment and innovation to solve it is your specialty.
You want to work for a company that supports work-life balance and truly cares that you are happy.
Working for a growing company that supports environmental stewardship and social responsibilities is a must for you.
Learn more about our sustainability commitments here .
Skyline is a capital management company that acquires, develops, and manages real estate properties and clean energy assets, and offers them as private alternative investment products.
We offer our employees competitive pay, benefits, paid volunteer day, on-going training, growth potential and so much more. Our workplace culture empowers staff at all levels to become involved in supporting and building vibrant communities. Powered by JazzHR
Compliance Officer • Oakville, ON, CA
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