Compliance Officer

ABOUT US

STRIVE is a Vancouver based recruitment firm offering recruitment solutions in the specialist areas of Accounting & Finance, Corporate Administration and Operations & Manufacturing. We are passionate about recruitment at STRIVE and commit to offering an upfront, genuine and consultative approach to everything we do - which is a big reason as to why we have been successful. Our proactive recruitment approach allows us to uncover high calibre professionals for niche, specialized and what are often regarded as "hard to fill" roles. At the same time, our simple philosophy recognizes the need to fully understand every client and candidate's motivations, requirements and objectives.

The Role

A well-established investment firm is seeking a Compliance Officer to join its team. Reporting to senior compliance leadership, this role requires a professional with strong attention to detail, exceptional client service skills, and the ability to take initiative when facing new responsibilities and challenges.

The firm values independence, entrepreneurial thinking, and long-term relationships with clients and investors across sectors such as energy, mining, technology, and special situations.

Responsibilities

• Review and approve new and updated client accounts, including individual, entity, and institutional accounts.
• Conduct daily and monthly supervision of accounts and trades to ensure compliance with applicable regulatory requirements.
• Perform ad hoc and time-sensitive assessments or investigations into trade and account-related concerns as directed by senior compliance management.
• Identify, review, and evaluate potential compliance issues to determine if escalation is necessary.
• Respond to internal inquiries from brokers and departments, providing guidance or escalation as needed.
• Provide administrative and analytical support to the compliance management team.

Requirements

• Minimum of 5 years of industry experience or equivalent relevant training preferred.
• Working knowledge of UMIR, CIRO, and Securities Act requirements.
• Completion of the Canadian Securities Course, Conduct and Practices Handbook, and Investment Dealer Supervisor’s Course (or equivalent).
• Strong organizational and time management skills, with a high degree of accuracy and attention to detail.
• Effective communication abilities and a collaborative team approach.
• Proven capacity to handle multiple priorities and exercise sound judgment under pressure.
• Proficiency with Microsoft Office; familiarity with systems such as Broadridge Dataphile, Thomson One, or Fidessa is an asset.

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