Canaccord Genuity Group
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Sr. Compliance Officer

Location: Vancouver, BC, Canada

Sr. Compliance Officer, Compliance – Vancouver – Job # 3473

Summary

Through its principal subsidiaries, Canaccord Genuity Group Inc. (the “Company”) is a leading independent, full-service financial services firm, with operations in two principal segments of the securities industry: wealth management and capital markets.  

Since its establishment in 1950, the Company has been driven by an unwavering commitment to building lasting client relationships. We achieve this by generating value for our individual, institutional and corporate clients through comprehensive investment solutions, brokerage services and investment banking services.  

The Company has offices in 11 countries worldwide, including Wealth Management offices located in Canada, Australia, the UK and Europe.  Canaccord Genuity, the international capital markets division, operates in Canada, the US, the UK, France, Germany, Ireland, Hong Kong, mainland China, Singapore, Australia and Barbados.  To us there are no foreign markets.TM

Our Canadian operations are currently looking for a Sr. Compliance Officer to join our Compliance department in Vancouver. The Sr. Compliance Officer will contribute to the regulatory control of Canaccord Genuity by providing the highest standard of integrity for the firm and its clients.

Responsibilities

 

  • Continually review trading activity to reasonably ensure adherence to rules & regulations;
  • Assist the Credit department with problem resolution and guidance with trading;
  • Review and approve trade corrections;
  • Perform internal quarterly trade desk audits;
  • Handle internal and external queries efficiently to promote business and in turn profitability;
  • Communicate with various regulatory bodies and other departments to ensure compliance with rules and regulations and policy interpretation;
  • Perform time-sensitive tasks (e.g. year end audit inquiries, client complaint files) quickly to avoid regulatory scrutiny and/or penalties;
  • Update internal manuals to reflect current processes & procedures to use as reliable training vehicles and to promote consistency within the firm;
  • Develop processes & procedures to remain compliant with regulatory requirements to prevent regulatory penalties;
  • Develop specifications for new reporting products with the help of the IT department;
  • Document queries and the result of such for reference purposes in order to target and resolve potential deficiencies.


Skills & Qualifications
 

  • A minimum of 5 years of experience in the securities industry, with a solid understanding of IIROC regulations and trading activities and regulations;
  • Working knowledge of anti-money laundering regulations;
  • Previous experience with drafting new processes and procedures;
  • Experience and knowledge of legal documentation for corporations, trusts and other legal entities an asset;
  • Clearing and settlement background an asset;
  • Ability to work in a fast-paced, high volume environment;
  • Ability to take initiative, and adapt to change; 
  • Client service oriented with the ability to deal with difficult situations and demonstrate flexibility;
  • Excellent teamwork, co-operation and interpersonal understanding skills;
  • Strong organizational and information seeking skills; with the ability to problem-solve and demonstrate sound judgment;
  • Completion of the Canadian Securities Course, Partners, Directors & Officers, Options Supervisor an asset;
  • Security industry related courses an asset (e.g. Trader Training Course);
  • Strong proficiency in Microsoft Office, with previous Dataphile experience.


Qualified applicants are invited to submit a resume and covering letter including salary expectations. All applications will be held in strict confidence. 

In order to be considered for employment at Canaccord Genuity, candidates selected for interviews will be required to show proof of citizenship, permanent residence or eligibility to work in Canada with no restrictions.

We wish to thank all candidates for their interest but only those applicants selected for an interview will be contacted. No phone calls please. Thank you for your understanding.

 
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